to supervise the operating system and the provision of services of the branch office. Clause 6. In granting permission to establish a branch office, the Office may prescribe conditions on the following

permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from the Office, if

, unless permission has been granted by the Office to open or close its office at any other hours or days.

derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made

the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer

. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) , and Paragraph 1(6) under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

clause (6) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) , as amended by the Ministerial Regulation concerning Granting

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning