The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; “ fund ” means any mutual fund and private fund

Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for

investment units, or [ii] suitability of making such transaction. Division 2 Appointment of marketing representative of private fund ___________________ Clause 10 In appointing a natural person to be a

or receiving requisition of investment unit redemption; (2) the appointment of a marketing representative of private fund . Chapter 1 Appointment of a Representative ___________________ Division 1

of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private

Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of