for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure

have the power to specify in its notification the rules with which derivatives business operators shall comply.