the Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulations as follows: Clause 1 Application and approval on establishment of limited company or public

Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

Page 1 of 4 Form 35 – retail ASEAN CIS Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator

application for additional securities business licenses it has not yet obtained by complying with rules and procedures prescribed in this Ministerial Regulation. [Amended by the Ministerial Regulation No.17

: Clause 1 Application and approval on establishment of limited company or public limitedcompany to undertake securities finance business and application and issuance of license to the companyso established

applications. Meanwhile, another application is still under consideration. Digital asset businesses are regulated under the Emergency Degree on Digital Asset Businesses B.E. 2561 (2018).The Ministry of Finance

application date. − ✓ Except those having passed CISA Level 1 or higher. 2 Passed the Financial Risk Manager (FRM) examination. Local or foreign organization for a total period of at least 1 year during the

Clause 15. In this division, “securities company” means a company licensed to undertake securities business in the category of securities brokerage. Clause 16.21 22 In considering an application for

brokerage. Clause 16.21 22 In considering an application for opening an account and entering into the agreement which appoint the securities company as the 19As added by the Notification of the Securities and

division, “securities company” means a company licensed to undertake securities business in the category of securities brokerage. Clause 16. In considering an application for opening an account and entering