the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
approval terminated prior to the expiration of the approval term under the events set out in the Notification of the Office of the Securities and Exchange Commission concerning approval for investor contacts
management company shall submit to the Office an application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such
fund management; “Office” means the Office of the Securities and Exchange Commission. Clause 2. Any commercial bank under the laws governing commercial banks, finance company under the laws governing the
The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is
of provident funds for customers. “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Mutual Fund Management Clause 3. In cases where the mutual fund management company
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification of the office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
according to paragraph one for such Derivatives broker. However, the SEC Office may set out other requirements for such Derivatives broker to follow accordingly. Clause 9. Derivatives broker shall arrange to
--------------------------- Clause 11. The securities company wishing to establish a branch office in foreign countries shall submit an application to the Office in accordance with the forms and procedures set out in electronic