operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor or partnerships under (1) or (2) or the company under (3) that

company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the

) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role

Transitional Provisions ______________________ Clause 14. The person who has obtained permission or approval for being advisor under the Notification No. OrNor. 2/2545 or securities investment analyst under the

December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the

, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of

Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial

. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established