market products without awareness of necessarily fundamental information for investment; (2) shall not make such promotion to be a lucky draw or a manner of drawing lots for finding the client who gets a

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

company shall prepare financial statements as prescribed in the forms and explanations as attached hereto. Clause 4/1 In the case of a securities company in Clause 4 which obtains a securities business

undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to

. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of

shall be: (1) a securities company which obtains a securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1

; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial

established by the Stock Exchange of Thailand and holds shares not less than seventy five percent of total sold shares of such company, whereby such company obtains an approval from the SEC to undertake back

seventy-five percent of the total sold shares of certain company, whereby such company obtains a permission from the SEC to undertake business in the category of back office service as specified in Section

account, and shall trade derivatives contract through off-exchange with a counterparty which is a financial institution or a foreign financial institution or through derivatives exchange only when obtains