exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this regard, such attendance shall continue from the previous

there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of thirty days, the Office may extend the period for consideration as needed. When

operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office

provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the appointment date; (2) report on

managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment

that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation

is the legal entity under Clause 5(3) or (4) and obtained the license prior to 1 January B.E. 2555 shall maintain shareholding proportion by the commercial bank or securities company which obtains a

Futures Exchange of Thailand on 30 December 2014, and had filed an application for obtaining derivatives business license type Sor-1 prior to the termination of such Act. (11)3 a person who obtains

statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8

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