Disclosure (section 108) Reporting and Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section

securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial

operate securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a

business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not

foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not limited to debt instruments or granting

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

such a way as to take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker

take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this

Securities Trading Account and Acting as the Securities Broker Clause 15. In this division, “securities company” means a company licensed to undertake securities business in the category of securities

service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535