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

regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a representative for

securities company to apply for approval of persons who are major shareholders; “Office” means the Office of the Securities and Exchange Commission. Clause 3. For the purpose of implementation of the third

(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the

or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual