Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
of the Securities and Exchange Commission: (1) The securities companies licensed to undertake all securities businesses in the category of securities brokerage, securities dealing, investment advisory
securities or assets in which the mutual fund invests, risks relating to the investment, types of investment units, procedures for purchase and sale of investment units, the relevant fees or expenses. This is
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
independent director shall: (a) hold shares of not more than five percent of all shares with voting rights of the securities company, parent company, subsidiary company, affiliate company or person who may have
invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives contracts in
assets in accordance with the principle of fairness and consistency for all funds under its supervision, as specified by the rules and procedures of the Association upon the approval of the Office; (h
Notification of the Office of the Securities and Exchange Commission (Translation) (Translation) - 8 - Readers should be aware that only the original Thai text has legal force and that this English