the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall

operation of its derivative business and already informed the cessation thereof in writing to the SEC Office. The SEC Office shall have the authority to require the derivatives broker under Paragraph 1 to

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

: Rules, Conditions and Procedures for Undertaking Securities Business in the Category of Securities Financing dated 13 July 1996 as amended by the Notification of the Securities and Exchange Commission No

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

renewal of approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser

company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive

. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section

securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities