appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as

. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of

this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person

securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities

Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures

Business in the Category of Derivatives Brokerage Limited to Gold Derivatives dated 14 November 2008 shall be repealed. Clause 2 In this Notification: (1) “ precious metal derivatives brokerage ” means

Derivatives Brokerage Limited to Gold Derivatives dated 14 November 2008 shall be repealed. Clause 2 In this Notification: (1) “ precious metal derivatives brokerage ” means derivatives business in the category

the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the

securities business in the category of private fund management; (6) “ gold ETF ” means a gold ETF established under the Notification of the Office of the Securities and Exchange Commission concerning