Office of the Securities and Exchange Commission. Clause 2. In the case where an applicant for an approval to be a custodian desires to appoint any person as its custodian agent, such applicant shall

. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. Any person who wishes to apply for a license for undertaking securities business pursuant to the

who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service

securities of the customer and wishes to borrow the securities from the customer or to lend the securities to other persons, the business operator must have a prior written consent of its customers. If the

wishes to receive an evidence of the approval shall submit the requisition through the system provided on the website of the SEC Office. Clause 9 This Notification shall come into force as from 1 July 2014

suspension in undertaking derivatives business as a derivatives dealer by the regulator of its home country . Clause 5. The juristic person under Clause 2 that wishes to register as a derivatives business

cases where a client wishes to trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such

office as follows: 1. The applicant wishes to: Open a full branch office Open an online branch office Convert an online branch office into a full branch office 2. Address

each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back

case the intermediary wishes to outsource operational functions to others, the intermediary shall comply with the specific rules under the Notifications of Capital Market Supervisory Board concerning the