by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an applicant who
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
year (4) securities registrar 50,000 baht per year (5) investment advisory 25,000 baht per year In the case where the licensee has not operated business to the full calendar year, the fee shall be paid
proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or regulation to be operated by the intermediary
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
institution; (14) Performing work in a dishonest manner; (15) Intentionally concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the
Registration Statement and the Annual Registration Statement. Part 2.2 Business Operation 1. Policy and overview of business operation Provide an overview on the background and nature of the businesses operated
invest mainly in the infrastructure asset of an infrastructure business that is operated for the common interest of the public in Thailand. In this regard, it shall not appear that an agreement to invest
operated by the derivatives exchange or other persons; (3) measures to promote and maintain the standard of integrity, reliability as well as fairness in relation to derivatives trading; (4) efficient system
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...