licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has

fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that

this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives

translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service

Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to

Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and