Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows:             (1)  Rules that carry the material context similar to that state...

Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries

Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries

Rules on Application for Obtaining Approval and Granting to Perform Trust Business

. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents

obtaining the Minister’s approval in form and together with supplementary documents specified in the SEC’s Notification as published in the Government Gazette. Where the approved person fails to establish

toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial

business license on the date of obtaining the license.     Given on the date of 31st January B.E. 2545   Somkid Jatusripitak Finance Minister

the date of receiving the license or pay not more than five annual installments divided equally. In case of installments, the first installment shall be paid on the date of obtaining the license and the

Baht 100,000 The licensee shall pay fee for securities business license on the date of obtaining the license.     Given on the date of 31st January B.E. 2545   Somkid Jatusripitak Finance Minister