reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

obtained license under the first paragraph shall comply with the conditions as specified in this Notification and shall provide service of precious metal derivatives besides gold derivatives only when the

” means a license to undertake derivatives business in various categories consisting of: (a) derivatives brokerage; (b) derivatives dealing; (c) derivatives advisory service; (d) derivatives fund management

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

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

Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities

encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced

of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a