) dated 13 July 2015. 2 Amended by the Notification of the Capital Market Supervisory Board No. Tor Jor. 43/2560 Re: Application for Approval and Granting of Approval for Offering of Newly Issued Shares (No
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
or conditions to be waived. In granting a waiver under Paragraph 1, the SEC Office shall mainly consider the appropriateness and the sufficiency of the information for supporting the making of
guideline shall be deemed to have complied with the rules prescribed herein. Part 1 Application for Approval and Granting of Approval for the Establishment of a Fund _____________ Clause 8 A management
and a management company having acted in accordance with such guideline shall be deemed to have complied with the rules prescribed herein. Part 1 Application for Approval and Granting of Approval for
Approval and Granting to Establish Branch Offices of Intermediaries . Clause 39 In providing services of accepting trading orders of capital market products outside the intermediary’s offices, an
Granting to Establish Branch Offices of Intermediaries. Clause 39 In providing services of accepting trading orders of capital market products outside the intermediary’s offices, an intermediary shall comply
to Issuance and Offer for Sale of Securities. Clause 3 This Notification shall be applicable to: (1) Application for Approval and Granting of Approval for an Offer for Sale of Depositary Receipts under
. Prior to granting approval for lending money for purchasing securities or lending securities for making a short sale to any person, a securities company shall: 6 Repealed by the Notification of the Office