Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

2 แบบรายงานการปฏิบัติหน้าที่ของผู้แนะนำรายชื่อลูกค้า (introducing broker agent) ของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล บริษัท

, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives

(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require

statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients

Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management