experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives

collaterals in margin accounts have experienced price volatility and declines due to various factors. When stock prices drop, the value of the collaterals is subsequently affected, leading brokers to forcibly

allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver

Derivatived Act B.E 2546   33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board  TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied)   03/08/2009

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed

Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers

Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance

Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily