of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
system related to investment unit trading and fund management as defined in the notification concerning support system provider. “ the notification concerning support system provider ”4 means the
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
derivatives trading of the client. Clause 21 The derivatives broker shall provide sufficient information or documentation in support of the consideration of the application for opening an account in order to
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
under the Innovation Development Program to Support Provision of Capital Market Services [regulatory sandbox]. “ fee ” means a fee for undertaking business according to license; “ Exchange ” means the
Business as Securities Clearing House, Securities Depository and Securities Registrar under the Innovation Development Program to Support Provision of Capital Market Services [regulatory sandbox]. Clause 4 A