income, and clearly disclose the said analysis and legal opinion on the matter in the draft prospectus submitted with the application for the fund’s establishment. Division 2 Application Submission and the

) demonstrating that it will have availability of personnel for business of precious metal derivatives brokerage . Chapter 2 Submitting Application and Fees _________________ Clause 5 An applicant shall submit an

proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the

Thailand Securities Institute for no longer than two years on the date of submission of application or if more than two years, had attended a training course of a training institute or training course

and exchange. Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1) derivatives business license type Sor-1; (2) derivatives

undertake securities business in the category of investment advisory service under the Law on Securities and Exchange. Clause 4 This Notification shall apply to application for license and issuance of

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit

application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause

of the application. If the examination on such knowledge has been passed for a period of time exceeding two years on the date of submission of the application, such applicant shall complete such