Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management; (2) “derivatives business license type Sor-2” means a license to undertake derivatives business
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
; “Affiliated companies” means the followings companies: (1) Any company who holds shares of management company or employer, as the case may be, from ten percents of total shares sold of management company or
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment