established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี
and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities