Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to

and Exchange Act (No.4) B.E.2551 (2008) in conjunction with Clause 4 (4), Clause 5 (3), Clause 6 (5), Clause 7 (4), Clause 8 (4) and Clause 9 (3) of the Ministerial Regulation Concerning Granting of

) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing Which Are Not Debt

Operators . By virtue of Clause 6 and Clause 30 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re. Rules, Conditions and Procedures for Securities Brokerage and Securities

Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18

of Thailand so permits by virtue of law, in conjunction with Clause 10, Clause 18(6) and Clause 19 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules

_____________ By virtue of Section 14 (2) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The following Notifications

paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker dated 22 December 2004

virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to

Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the