Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an

หรือระบบงานสำคัญหมายถึงอุปกรณ์เครือข่าย เครื่องแม่ข่าย หรือ software ระบบงาน ที่เมื่อหยุดชะงักหรือทำงานผิดไปจากที่คาดไว้ แล้วส่งผลกระทบต่อการดำเนินธุรกิจ โปรดระบุจำนวนระบบงานหรือ application ที่สำคัญ

Checklist for ASEAN CIS Application Form Name of ASEAN CIS: ________________________________________________________ Name of Qualifying CIS Operator: ______________________________________________

and exchange. Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1) derivatives business license type Sor-1; (2) derivatives

provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The

undertake securities business in the category of investment advisory service under the Law on Securities and Exchange. Clause 4 This Notification shall apply to application for license and issuance of

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

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

securities in the Stock Exchange through the Securities Trading System set up by the Stock Exchange; “Stock Exchange” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and