SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.5 as of June 5, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation

process organized by the Office shall have the following characteristics: (1) The dispute arising from the respondent’s failure to comply with the contract, the Securities and Exchange Act, the Provident

NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange

business in the category of derivatives fund manager providing services for mutual funds, according to the securities and exchange law, without price settlement and contract delivery obligations or custody

business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

investor/ institutional investor/financial institution etc. ) ……………………………………………………… □ type of transaction (OTC /on exchange etc.) ………………………………………………….. □ type of derivatives contract (futures/options