the SEC Office in accordance with the form and procedure provided on the electronic system of the SEC Office. Clause 5 In case the SEC Office deliberated that an applicant has correctly and completely

risk, the assets under Paragraph 2 shall include credit facilities granted by a commercial bank. The securities clearing house shall calculate the value of financial resources to ensure that it is

derivatives exchange or a derivatives clearing house which is a position or nature of work permissible to be performed provided that the job holder has no prohibited characteristics as specified. “personnel in

approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a bondholders' representative appointment agreement (in case of secured bonds

the application for securities business license in the category of investment advisory service with the SEC Office within sixty days from the date on which the approval is granted, provided that the

Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the

arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorThor. 15/2551 Re: Determination of Paid-Up Registered Capital of Person Granted a

and Exchange Commission No. KorThor. 15/2551 Re: Determination of Paid-Up Registered Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of

. “underlying share” means a newly issued share provided for the exercising of rights under a convertible bond. “exercising of conversion right” means the conversion of convertible bond into shares, whether by

Office within thirty days from the date on which the approval is granted, provided that the application shall be in form specified in the SEC’s Notification as published in the Government Gazette