Securities dated 24 December 2010 specifies that any person intending to make an offer for sale of units of foreign ETF in Thailand may file an application with the SEC Office for examination of such units of
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the
basis, the executive shall take such position at only one securities company. Clause 3. In applying for approval under Clause 2 , a securities company intending to obtain approval shall submit an
ETF; (b) receiving notice, order, warrant or any document on behalf of ETF operator or foreign ETF. Clause 4 Any person intending to make an offer for sale of units of foreign ETF in Thailand in a
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
) commercial bank; (3) life insurance company; (4) other financial institutions as specified in the notification of the SEC; or (5) Thai incorporated company intending to apply for Type D securities business
information as additionally prescribed in this Notification in case where a person intending to make an offer for sale of units of foreign collective investment scheme demonstrates that such information has no
purpose was to earn the profit from the capital gain in the future. The company wasn’t intending to manage or participate with developing the project of TSE. Therefore, this transaction is the objective of
offer for all securities of the business shall clearly specify the following information: (1) The name of the applicant intending to request for the resolution of the shareholders’ meeting for the