management companies, investment unit brokerage companies; directors of the Thai BMA; directors of inter-dealer brokers (IDB); 2. Fund managers, derivatives fund managers, property fund managers

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

The SEC has collaborated with the single form working group to develop the single form, which contains a standard information set. The working group consists of representatives from stakeholders in

derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident

Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied)   14/09/2010 01/10/2010 Notification of

groups more efficiently, and procedures for clearer communication between selling agents and investors.  The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles

companies with clients who are securities companies under foreign law and acting as brokers or agents in trading or exchange of securities for others (inter-brokers) to additionally conduct a Know-Your

| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents

assure that all respective systems  and capital market service providers, including Thailand Securities Depository Co., Ltd. (TSD), securities firms, asset management companies and derivatives agents