person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an

from 16 April 2008. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Remarks: The reason for issuing this Notification

major shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance and support as well as strategic positioning of the Company or its group of companies in

Exchange Commission Remark: The reason for issuing this Notification is to allow derivatives business operators licensed by the Office to provide services for additional juristic persons who are well

Exchange Commission Remark: The reason for issuing this Notification is to ensure that the procedures for settlement of disputes by arbitration are fair and comply with the rules specified by the Office.

Commission Remarks : The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and

6th day of August 2009. (Vijit Supinit) Chairman Securities and Exchange Commission Remark : The reason for promulgation of this Notification is to prescribe that the fund management of juristic

procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each

fair allocation procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating

_____________________________________________________________________ Remark : The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets