Notification: “business operator” means: (1) a securities company licensed to undertake securities business in the category of securities brokerage or securities dealing which is not limited to debt securities
/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives
of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer (Codefied) 15/07/2010 01/08
comply with the SEC?s approved advertising or sales promotion guidelines issued by the Thai Listed Companies Association and Association of Investment Management Companies. Any business operator failing to
operator in the category of securities brokerage or investment advisory; (2) derivatives business operator in the category of derivatives agent or derivatives advisory; “ supervisor of investment line of
selection and trading placement without interference throughout the transaction process. “intermediary” means: (1) securities business operator in the category of securities brokerage or investment advisory
business operator, which undertakes business with price settlement and contract delivery obligations, uses qualifications for undertaking futures business in the category of futures brokerage following the