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

undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

2013, the SEC Office hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 October 2015, except for Clause 10, Clause 11 and Clause 12(2)(3) and (4), which

, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in

accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the

benefit Thai investors or the Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support

the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with

such transaction is proceed by derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits or promissory notes