Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By

Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________

evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT

accountable persons and the responsible persons for the allocation and management of the information technology resources under Clause 5(2). 3. The information security policy under the provision of Clause 5(3

public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.

Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

shall deposit such assets and deposit money to secure payments of related costs at the deposit office according to the law, regulation, and rule on property deposit. The liquidator shall also submit

the notification of the SEC. The provision of the first paragraph shall not apply to a derivatives advisor. SECTION 28. A derivatives business operator shall prepare and submit financial statements to

, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in