information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in

dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and

sufficient information to make an informed investment decision. Clause 21 Provided that one of the following conditions applies, the Office may opt to exempt the application of any rules under this

the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at