Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake

securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake

: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including

this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including

e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   9/2549    01/03/2006

the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.

Securities and Exchange Commission No. Sor Thor. 17/2551 Re. Report Preparation and Submission of Licensed Derivatives Brokers (No. 3) dated 4 June 2008. Clause 2 In this Notification: “ business operator