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

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

intermediary should establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC

the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

result of an order or an action of a director, manager or any person responsible for the operation of such trustee, or in case such person has a duty to order or act but omits to order or act, which causes

the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities business, derivatives business, derivatives trading center, derivatives

departmental level of a company. “ branch manager ” means a manager of the branch office or a person responsible for the operation of a branch office. “ fund manager ” means a mutual fund manager or a private