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

structured notes; (3) underlying shares of depository receipts or such depository receipts, in case of underwriting of depository receipts whose underlying securities are such shares. Provision in the first

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

categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt

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

offering closing date or the date of providing over-allotment shares in full, as the case may be. The provision in the first paragraph shall not apply to an article or research paper which meets the

, 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