44 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board under Section 60 of
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of investment schemes established under the
derivatives under the Law on Derivatives, having all of the following characteristics: (1) specifying that the counterparty shall gain returns based on the price or the returns from shares issued by the listed
following securities regardless of the purpose of issuance: (a) share; 2 (b) share warrant; (c) any other securities as prescribed by the SEC Office. “foreign company” means a company established under
follows: Clause 11 This Notification shall apply to the approval of foreign auditors whereby an auditor approved by the SEC Office under this Notification shall be allowed to perform an audit work and affix
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
□ A commercial bank under the law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A
brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives