this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means
before public disclosure of financial statements (for example, reporting requirements on directors’ and executives’ securities trading and penalty measures on misuse of inside information, etc.) This is to
disclosure of financial statements (for example, reporting requirements on directors’ and executives’ securities trading and penalty measures on misuse of inside information, etc.) 9.6 Auditor remunerations
promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “ financial institution ” means a financial institution
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9