CMSB - Torthor 31-2556 - branch office of intermediary - TRANSLATED VERSION As of January 15, 2015 Readers should be aware that only the original Thai text has legal force and that this English
direct connection to the undertaking of securities or derivatives business; “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company or inter
brokerage; (8) derivatives advisory providing investment planning to clients or using software programs in providing services to clients; (9) derivatives manager; In the case that an intermediary under the
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
operation to access the critical information system via direct connection to the organization’s internal network systems; “teleworking” means the operation which accesses the critical information system with
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “intermediary” means a securities company and a
Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “intermediary” means a securities company and a derivatives
clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of