appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS annually update

​ ​ Regulatory Summary​ ​Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed  Form 35 – foreign ETF ​   in hard copies accompanied by all supporting

​ ​ Regulatory Summary​ ​Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed  Form 35 – foreign ETF ​   in hard copies accompanied by all supporting

offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after the last day of each

1 Forth Smart Service Public Company Limited (FSMART) 3Q18 Management Discussion and Analysis Operational Summary 9M18 Operational Summary  Total revenue from core business was Bt2,523mn, increasing

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

Currently, there are no licensing regulation for digital asset custodial wallet providers in Thailand. Thus, a digital asset business operator who performs safekeeping of clients’ digital assets

SEC website: www.sec.or.th.    Mr. Anek Yooyuen, SEC Deputy Secretary-General and Spokesperson, said: “According to the specified legal procedures, if any digital asset business operator fails to comply

2566-2#2I-!9%*44 (website) Dec 66.xlsx Statistics of Administrative Sanction (As of 31 December 2023 Public Reprimand Suspension Revocation Public Reprimand Suspension Revocation Business Operator