demonstrate to the Office that: (1) being a derivatives business operator in the category of derivatives dealer in accordance with the law of its home country; (2) undertaking derivatives business in the
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator of any member country of the ASEAN Economic Community (“AEC”). (3) being an outbound product
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator in the countries in the ASEAN Economic Community (“AEC”). (3) being an outbound product which is
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
conforming to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6
to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6 In
and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act