Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
exchange [large trader], and changes to the derivatives positions of such persons; (d) a real-time derivatives trading surveillance system. Clause 9 A derivatives exchange shall establish sufficient measures
appropriate risk management in a timely manner; (5) assignment of roles and responsibilities of the accountable persons and the responsible persons for the management of information technology risk under Clause
not connected persons of the Company or the Buyer as (1) directors and management of the Company; (2) authorized controllers; (3) major shareholders; (4) persons to be nominated as management or
discretion: (a) to regulate the offering, marketing and distribution of a Covered Fund within its jurisdiction, including by exercising the power to require Persons engaging in the offering, marketing and
meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group of persons having
marginalised populations and /or communities 3. People with disabilities 4. Migrants and /or displaced persons 5. Undereducated 6. Underserved, owing to a lack of quality access to essential goods and services 7
manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; Part 3 Subject Matters of this Notification Clause 4 This Notification
operation; (7) Every delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business
and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. (Translation) 3 Chapter 1 Application for Approval ______________________ Clause 3. Persons who