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

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction

Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision

satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system

company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities

. “registrar” means a person appointed by the Minister to be the Registrar of provident funds. “competent official” means a person appointed by the Minister to execute the duties in accordance with this Act

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an