Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or

, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect

derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its

with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand

reasons and the necessity to maintain or appoint such person as an independent director as well as the opinion of the board of directors that such person’s holding of the independent director position does

issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power