(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of

company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect

company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship

of persons having the following qualifications intends to apply for a license under regulatory sandbox , the group of persons shall submit an application form under the regulatory sandbox to the SEC

Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the

hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables

Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

services is not monopolized to any one business operator or a group of business operators. In this regard, at the time of application, the said sale of products or provision of services is not more than one