2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of
unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any person responsible for managerment of
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in
investment characteristics similar to unit; “ derivatives broker ” means any person who obtains the derivatives business license in the category of derivatives brokerage under the Derivatives Act B.E. 2546
; “derivatives broker” means any person who obtains the derivatives business license in the category of derivatives brokerage under the Derivatives Act B.E. 2546 (2003). Clause 3 Maintenance of the net capital by