of the Securities and Exchange Commission: (1) The securities companies licensed to undertake all securities businesses in the category of securities brokerage, securities dealing, investment advisory

investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons

Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re

Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of

The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No

foncier businesses, securities companies under the law on securities and exchange, life insurance companies under the law on life insurance or financial institutions established under specific law with the

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life

Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this