Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the

, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and

) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “ securities company association ” means an association relating to securities

derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices

Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment

called differently; “Market price” means price of equity instrument in securities exchange or price of debt instrument which was offered by Thai Bond Market Association, as the case mat be; “Association