Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment Management