. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No

ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี

securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory

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

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS

2 แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า (introducing broker agent) ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล บริษัท

case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the

Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No

undertaking of any business or bankrupt, a receiver, a liquidator or any other person empowered by law to act in the similar capacity as the aforementioned persons, as the case may be, shall undertake necessary