condition and the business operation of an entity who is not a securities issuing company and such entity gives consent thereto, the SEC may specify that such entity shall have the joint duty and

the following information to the SEC Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation

Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation and the financial conditions; (2) any

the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities business, derivatives business, derivatives trading center, derivatives

of the SEC Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities

of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and

the Minister. The remuneration shall be deemed an expense for the operation of the SEC Office. SECTION 12 The provisions in Section 31/7 of the Securities and Exchange Act B.E. 2535, as amended by the

may not require a securities company to have a paid- up registered capital in an amount specified for operation of any particular category of securities business, except for a security company operating

than one year; (5) being an officer or an employee of the Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the

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