underwriting, which is not limited to debt securities; (2) a securities company in the category of securities financing; (3) a securities company in the category of securities borrowing and lending; (4) a

of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as

, securities financing, securities dealing or securities underwriting which is not limited to debt instruments, but not including any company licensed to undertake securities business in the category of

new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence

Securities and Exchange Commission No. KorThor. 5/2539 Re: Rules, Conditions and Procedures for Undertaking of Securities Business in the Category of Securities Financing dated 13 July 1996; (6) Clause 2 and

of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours

Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities

maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company , as lessee, would be able to terminate the contract before the

: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the