country accepted by the Office will be granted renewal of the approval if they maintain such status when the application is filed and have passed at least three hours of training courses on rules
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business
sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a
country fund หมวด 7 หลักเกณฑ์เพิ่มเติมของLTF หมวด 8 หลักเกณฑ์เพิ่มเติมของ ETF หมวด 9 บทเฉพาะกาล หมวด 1 บททั่วไป ส่วนที่ 1 หลักเกณฑ์ทั่วไป ส่วนที่ 2 Proxy Voting ส่วนที่ 3 การจัดทำและส่งรายงานต่อสำนักงาน
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2