Notification of the Office of the Securities and Exchange Commission Published in Government Gazette Vol. 118 Section: Special 95 Ngor Date: 28 Sept. 01 (Translation) U Readers should be aware that
operator ” means a derivatives business operator in the category of derivatives broker or derivatives dealer. Clause 3 This Notification shall apply to persons registered as a derivatives business operator
” means a derivatives business operator in the category of derivatives broker or derivatives dealer. Clause 3 This Notification shall apply to persons registered as a derivatives business operator whose
capital fund management company, or inter-dealer brokerage company, and registered derivatives intermediary; “Notification No. Tor Thor. 60/2561” means the Notification of the Capital Market Supervisory
offered to sell investment units to the public, but not registered assets to be a mutual fund to the Office prior to this notification become effective, and if the details of mutual fund management scheme
25. In the case where the mutual fund has been registered to the Office prior to this notification become effective, and having the details in mutual fund management scheme contrary to or inconsistent
been registered to the Office prior to this notification become effective, and having the details in mutual fund management scheme contrary to or inconsistent with any provision in this notification or
registered capital under Notification of the Securities and Exchange Commission concerning determination of paid-up registered capital of a person who obtains derivatives business license; (2) not having a
such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following qualifications: (1)4 having paid-up registered capital under Notification of