depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
) _________________________________________________ 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
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref TRANSLATED VERSION As of May 10, 2011 5 Readers should be aware that
SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English
scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
or undertake any other actions as the Capital Market Supervisory Board deems appropriate. SECTION 67 . A derivatives contract may be traded only after the derivatives exchange has submitted the form