for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
limited to debt instruments or granting credit for securities business under the law on Securities and Exchange; (4) a juristic person established under foreign law, which is a derivatives business operator
who has duties to contact, solicit, advise or prepare investment plans for investors and are divided into two categories: Category A Investor Contact and Category B Investor Contact; “Category A
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
advertisement referred to in Clause 6(1) and (2) to be granted an approval from the Office, it shall comply with the following conditions: (1) must be an advertisement for any of the following funds: (a) a fund
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the