/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest
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
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
virtue of law; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Assembly, as follows: SECTION 1. This Act shall be called the “Derivatives Act B.E. 2546
Finance, Permanent Secretary of the Ministry of Commerce, Permanent Secretary of the Ministry of Industry, Secretary-General of the Council of State, Secretary-General of the Office of the National Economic
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
damage the intermediary or the capital market or have an impact on the national security, and that they are required to report violations or any significant abnormality to the person responsible for the
of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the