that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents except for the case that the system for inspection and
the date on which it has received the required information in full. The accepted courses will be published in the website of the Office. If the organizer fails to file the information in advance or
relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission
sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
Regulations No. 5 (B.E. 2539 (1996)) issued by virtue of the Securities and Exchange Act B.E. 2535 (1992), whether before or after the effective date of this Notification, shall be exempt from payment of the
application for derivatives business operator registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/1 In case where registered
within seven days from the date on which the securities company knows or is plausibly aware of the prohibited characteristics of such executive. Clause 7. The provision in Clause 3(1)(b) shall not apply to
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it