has been authorized, approved or registered as advisor under the Notification No. OrNor. 2/2545, securities investment analyst under the Notification No. SorKhor. 25/2547, marketing officer under the

scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management

person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by

investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze

approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for

) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of

, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for

authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section

least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized

criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards