possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to

registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office

clearly understands such investment or transaction; (3) give advice to the client with balanced view [i] composing of characteristics, strong points, limitations, returns, and possible risks of risky or

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require users to create strong passwords such as