Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By

title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories

liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the

. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company

securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

Thailand or under the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly-issued Debentures for Securitization ; “ foreign collective