the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas

) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a

one of the following legal entities: (1) a securities company having obtained a securities business license type A ; (2)1 a person having obtained derivatives business license in the category of

the derivatives broker is a securities company which has obtained an approval from the Office to make a derivatives trading for their own account according to the notification governing derivatives

does not make an objection within five business days from the date on which it receives such information, it shall be deemed that the securities company has obtained approval from the Office to make such

case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person concerning the management of fund; (2) Management

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an

institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company

. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established limited company or public limited

limited company or public limited company of which shares are held by one or various precious metal trading firm , who undertake precious metal business continuously not less than 3 years, more than 50% of