resolution upon recommendation of the Minister in cases of the Chairman or by the Minister’s order upon recommendation of the SEC which has passed a resolution with at least two-thirds of all commissioners in
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
and Exchange Commission, Thailand Re: Application to offer ASEAN CIS publicly in Thailand I/We _________________________________________________ as an operator of
Re: Application to offer Foreign ETF in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify the Securities and
offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the
related to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in