The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be

Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The

in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of

(2) as the case may be. For the purpose of Paragraph 1, the term “ senior management ” means manager, assistant manager, or a person whose position is in the same level as the aforesaid position but is

“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to

, seminar or lecture of the same subject will not be counted. 1. Up to 3 hours per subject will be accumulated. 2. Teaching on the same subject will not be counted. 4. Application for activity acceptance by

Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “ executive ” shall have the same

all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except

” in Paragraph 2 shall be the same as the definitions of such terms in the Notification of the Securities and Exchange Commission concerning Determination of Definitions in Notifications concerning