4. Before commencing the fund supervisor business, the person registered as a qualified fund supervisor shall notify the Office at least thirty days prior to the date of commencement of such business

company or when the order of the SEC or the Office has come into force, shall be exempt from filing reports for all categories, commencing from the month in which the business operation ceases or is

Clause 3(1). Chapter 3 Conditions Imposed on Licensees ____________________ Clause 10 An agricultural derivatives business licensee shall comply with the following conditions: (1) commencing the operation

exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

commencing from 1 January 2011 onwards. Notified this 15th day of December 2010. (Mr. Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remark: The rationale for

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8

account or commencing derivatives trading with a client, the derivatives broker shall put in place a procedure to ensure that the client is aware of the risk associated with derivatives trading by preparing