by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an

prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund

and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the

Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that the issuance of rules on liquidation of mutual funds is under the authority of the Capital Market Supervisory Board, it is therefore deemed

) stipulates that the issuance of rules, conditions and procedures for undertaking securities businesses in the categories of securities brokerage, securities dealing, investment advisory service, securities

) stipulates that the Capital Market Supervisory Board, in place of the Securities and Exchange Commission, shall have the power to specify rules governing derivatives business operators. As such the requirement

intermediary shall comply with those standards as well. In case the association specifies the guideline, having obtained an approval from the SEC Office, regarding operational standards of intermediary ’s

. 2551 (2008) stipulates that the issuance of rules on liquidation of mutual funds is under the authority of the Capital Market Supervisory Board, it is therefore deemed appropriate to issue this

. - Signature - (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remark : The rationale for issuing this Notification: As the Derivatives Act (No. 2) B.E. 2551 (2008) stipulates that the issuance

with those standards as well. In case the association specifies the guideline, having obtained an approval from the SEC Office, regarding operational standards of intermediary ’s personnel, the