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request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement

document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause 9. Securities company shall notify its counter trader whether such offering

upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the

detail [i] to the intermediary, the derivatives exchange, the derivatives clearing house or the SEC Office upon request or [ii] according to the rules as specified by the exchange, the clearing house or

to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund

suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to provide such

Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together with evidentiary documentation to the