of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________

of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________

of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of

Providing Guarantee for Insured Mutual Fund by Securities Company in the Category of Securities Finance Business (No. 2)

Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type

Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)

Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...