been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a

. For such purposes, the rules governing the requirement of margins for derivatives trading in derivatives exchange have been prescribed. Furthermore, the Derivatives Act (No.2) B.E. 2551 (2008

persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons

issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and