Clause 8 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker dated 22 December 2004 as amended
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of
Business for Licensed Derivatives Broker (Synopsis) 22/12/2004 16/01/2005 3. Notification of Capital Market Supervisory Board TorThor. 23/2553 Rules for Undertaking Derivatives Business for Licensed
Derivatived Act B.E 2546 33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied) 03/08/2009
| - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records
information related to such digital asset investments. The list of licensed digital asset business operators is available at www.sec.or.th/digitalasset. In case of possible tips on suspicious activities
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
Bangkok, January 22, 2014 ? The SEC is seeking public comment on proposed revision to the rules of customer contact and service for all licensed business operators to standardize the relevant