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
Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the
a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company
such person’s behaviors are not prohibited characteristics as specified in Clause 4 if there is no reasonable ground to believe that the granting of an approval for such person to act as a mutual fund
to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person
sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or
company to manage a fund; “Repurchase agreement” means a sale of securities or debt instruments with an agreement to repurchase such securities or debt instruments on the date specified in the agreement
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units