overall risk management of the Financial Conglomerate  Establish risk management policies and risk appetites. Set risk limits for the significant aspects of the various risks.  Formulate strategy on the

shaping of market development. The law on futures markets was enacted in 2004. Preparation is now well under way to establish the market within 2005. A clear and concise plan was set to eradicate remaining

intelligence (AI) to establish marketing strategies suited to the behavior of each customer group, as well as developing products and end- to-end solutions. The advent of FinTech has changed the competitive

years. These trends are the driving factors behind the need for the public and private sectors to establish a framework and measures to cope with changes in the economic and financial sectors. 1

. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exc...

securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of

securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of

securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of