to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of

affiliated transaction 3.2.1 cross trade 3.2.2 affiliated broker 3.2.3 แบบรายงาน 4 staff dealing 4.1 RL/WL 4.2 เงื่อนไขจำกัดการซื้อขายของพนักงาน การควบคุม การติดตามตรวจสอบ 1 บทบาทและหน้าที่ของผู้บริหารระดับสูง

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means

securities dealing, securities underwriting, or other securities businesses as specified in the notification of the SEC; or (b) those acquired upon a permission from the Office and in accordance with the rules

the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities which are not Debt Instruments dated 26 September 2000 as amended

particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any