(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in

. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Note : The rationale for the issuance of this Notification is as follows

for review by the Office when requested. Notified this 1st day of March 2007. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange

) Secretary-General The Office of the Securities and Exchange Commission Note : The rationale for the issuance of this Notification is as follows: Securities companies are required to have proper risk

. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note : The rationale for issuing this Notification (1) to revise the qualifications of the

Notification. Notified this 14th Day of October 2009. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note: The rationale for issuing this

Notification. Notified this 14 th Day of October 2009. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note: The rationale for issuing this

Notification come into force. Notified this 14 th Day of October 2009. (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission

the value or suitability of any trading or investment in derivatives; (6) Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside

value or suitability of any trading or investment in derivatives; (6)3 Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside derivatives