an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

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

accountable persons and the responsible persons for the allocation and management of the information technology resources under Clause 5(2). 3. The information security policy under the provision of Clause 5(3

a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of

, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in

on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of

advisors on dispute resolution by an arbitrator on the SEC Office’s list, shall come into force as from 1 January 2016; (2) Clause 17, which is related to arrangement of agreement with clients on provision