issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of

making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a

possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure

such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient

derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a

licensees of the following licenses shall pay a fee at a rate varies based on business volume. In any case, the amount to be paid shall not be less than the minimum rate specified in Clause 6: (1) securities