The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in

the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is

Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator: _____________________________________________________ Home

Page 1 of 8 Form 35 – NRI CIS Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator

investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the

Republic of China and Thailand (HK-TH MRF) This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after

, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the

colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts

banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities