) ________________________________________ Please print this checklist and include it as part of the package of this form Foreign Exchange-Traded Fund (ETF) Application Form To: Secretary-General Securities and Exchange Commission, Thailand
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
Supervisory Board hereby issues the following regulations: Clause 1 The Notification of the Capital Market Supervisory Board No. TorThor. 49/2552 Re: Short Selling of Securities relating to Exchange Traded
invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives contracts in
customer fails to do so within such period of time, the derivatives business operator may sell the securities held for the account of such customer in the market where such securities are normally traded. If
affected the integrity of derivatives trading in the Derivatives Exchange, or have or may have caused the price of derivatives traded in the Derivatives Exchange to be inconsistent with the normal market
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
Institution; (5) the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offer for Sale of Shares Issued by Foreign Company of which Shares are not Traded in Foreign