Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company
such person’s behaviors are not prohibited characteristics as specified in Clause 4 if there is no reasonable ground to believe that the granting of an approval for such person to act as a mutual fund
procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
Office of the Securities and Exchange Commission. Clause 2. In the case where an applicant for an approval to be a custodian desires to appoint any person as its custodian agent, such applicant shall
translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use