Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means

licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the

Commission hereby issues the following regulations: Clause 1. In this Notification, (1) “Securities company” means any company licensed to undertake securities business in the category of securities brokerage

reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional

the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

Exchange Commission No. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure

securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake

and approval for appointment of an executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake