and Exchange Act (No. 4) B.E. 2551 (2008), hereby issues the following regulations: Clause 1. The provision of Clause 1 of the notifications of the Capital Market Supervisory Board No.Tor.Thor. 1/2551
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
derivatives only with institutional investor counter party. Clause 4.3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
characteristics under Clause 17(1) or (2). Clause 19 In the case of an offer for sale of bonds to the public, the applicant shall arrange the appointment of a bondholders’ representative. Division 2 Application and
, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system
the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary. In this regard, the appointment of
assigned by the trustee with a scope of authority, duty and responsibility as stated in the trust instrument, as well as the appointment contract of the REIT manager and other agreements between the REIT
government agencies shall arrange the appointment of a bondholders’ representative. Chapter 2 Application and Approval Procedure on Issue and Program Basis __________________ Clause 17 The Thai government