obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five

policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of

material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under the first paragraph, an intermediary

Private Fund Custodian and certify that the contents contained in the application for approval and supporting documents attached hereto this application are all true and correct. Signature

. Notified this 3rd day of June 2014. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Remark : The contents in brackets [….] have been provided in

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

regarding derivatives contracts or suitability for purchasing and selling derivatives contracts, based on the amount of advisory contents in accordance with the rules and procedures as prescribed by the

material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign

which contains at least material information in the following matters: (1) duties and responsibilities of a service provider which include one of the following details: (a) liability to the intermediary

the Securities and Exchange Commission Note: please note that the contents added in brackets [….] have only been provided in the English version for clearer understanding. the law on interest on loan