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
has been approved or registered to perform duties similar to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval
selling by means of 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
performance of the fund shall be made only when it complies with the following rules: (UNOFFICIAL TRANSLATION) 7 (a) the ranking or award specified in the advertisement has been granted by an agency or
) “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
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 damages arising
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
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 permits by virtue of law