Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

a Derivatives Business Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37

contract entered into with or through a derivatives business operator, a derivatives exchange or a derivatives clearing house shall constitute a contract having a legal binding and creating an obligation

Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of

. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue

, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

suitability of investment relating to such securities; (9) “ foreign securities business operator ” means any person licensed to undertake securities business by a regulatory agency on securities and securities

the notification to extend the applicability of the provisions of this Division to any other categories of derivatives business operator.