informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association

shall not have any restriction to redeem before date of maturity. Clause 8. Derivatives broker shall monitor and supervise to ensure that its personnel perform in accordance with this notification and its

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

to supervise the operating system and the provision of services of the branch office. Clause 6. In granting permission to establish a branch office, the Office may prescribe conditions on the following

The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made

Notification together with two photocopies thereof to the Office. Clause 3. This Notification shall come into force from 1 November 2004. Notified this 19th Day of October 2004. Thirachai Phuvanatnaranubala (Mr

and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a

this 31st day of October 2005. Thirachai Phuvanatnaranubala (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of Securities and Exchange Commission Form 104-1/Or Por 24-1 Application Form