information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
(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