and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
asset businesses; (2) the determination of fees for an application for an approval or licence, granting of an approval or licence, application for a permission, granting of a permission, filing of
an approval or licence, application for a permission, granting of a permission, filing of registration statements for offering of digital tokens, filing of annual registration statements, other
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from the Office, if
the period of time as specified in the second paragraph expires but the Office has not yet notified or made any orders to securities company. It shall be deemed that the Office grants permission to such
Office grants permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from
concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business (No. 3) B.E 2555 (2012) and the first
consent letter of the audit firm (Form 61-2); Period of Approval Validity : not over five years per period 2.1.2 Qualification of Approved Auditor An auditor to