. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

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

an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which

according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must

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

strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By

person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which

: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

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