Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
period of 3 years prior to the application date. - ( Except having passed the CISA Level 2 or higher 4 apart from having academic background as specified in 1-3, having been approved or registered to
entering into exchanging in-kind for making delivery; (b) the client shall demonstrate that it has been an order to purchase units of foreign ETF while placing short selling order, in case of short selling
establishment to the Office. In case that the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state [in the advertisement] that the mutual
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of
Clause 9 shall be made in continuation of the time during which such person used to receive training under relevant notifications. If such person has been authorized, approved or registered under more than
original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of
specified in the second paragraph of Clause 4 and has paid-up registered capital of not less than one hundred million baht; and (2) One hundred million baht from 1 January 2012 onwards. Clause 6. This
restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such