Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall

Derivatives Agent ______________________  Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 13/2562 Re: Rules in Detail on Communication with and Providing

Derivatives Agent ______________________  Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 13/2562 Re: Rules in Detail on Communication with and Providing

Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the

. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding

agent or as the lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to

……………………………………………… Size of MTN Program…………………………………………………… Financial Adviser………………………………………………………… Underwriter………………………………………………………………… Representative of Debt Securities Holders………………………… Warnings: “Prior to making an

) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information

109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93) | - |- Branches (Section 92

, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising (Section 98(10)) | - |- Securities Businesses (Section 108) |- Branch Offices / Representative Offices (Section 92, 93