force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By virtue of
TRANSLATED VERSION As of November 21, 2012 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the
Notification or the guidelines specified by the securities company in compliance with this Notification, or has inappropriate behaviors in performing the duty to give investment advice and provide services
which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and
has the duty to maintain the capital under the Notification concerning Maintenance of Capital. “Notification concerning Maintenance of Capital” means the Notification of the Securities and Exchange
perform duties with responsibility and prudence as a professional under the relevant Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the following sentences
. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. PAGE (Translation) 2 The Securities and Exchange