-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an

Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69

Accounting Supervision Department Mr. Prakid Punyashthiti Director Broker-Dealer Supervision Department (Executive Officers) Mrs. Nataya Niyamanusorn Director Corporate Affairs Department Mrs. Waratchya

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   7/2560    16/02/2017

01/03/2017 2. Notification of the Securities and Exchange Commission  KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

e-service Online Submission Derivatives Dealer >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorThor 3/2551

e-service Online Submission See canceled document Securities Dealer Business >> Dealer of capital market product denominated in foreign currency   Type Title Section See Document Status Notified Date

can be summarized as follows: Strategy One: To embrace financial technology (FinTech) as a tool for adding value and creating more efficient market and accessibility for all stakeholders. This priority

tool for adding value and creating more efficient market and accessibility for all stakeholders. This priority aims to support the Thai capital market's moving towards the new age of financial landscape

: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated