Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody

) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to

securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of

reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to

fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund

plans for the clients as well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution

well; (9) “ financial institution ” means a financial institution having any of the following characteristics: (a) a commercial bank under the law on financial institution business ; (b) financial

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note