results in an offsetting of the position or by any other means under the rules of a derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means

the Stock Exchange of Thailand; “ derivatives exchange ” means the derivatives exchange established under the Derivatives Act B.E. 2546 (2003) ; “ derivatives clearing house ” means the derivatives

intermediary shall comply with the following rules: (1) in case of accepting trading orders of capital market products listed on the stock exchange or derivatives exchange , the intermediary shall comply with

prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a

capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and

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

of Securities and Derivatives Holding in …..(Name of Issuing company / Name of Company Issuing Underlying Securities.………………… จัดทำโดย ………………(ชื่อ)…………………………….………..………….………..ตำแหน่ง

a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37

issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities

agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives