translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
under the law on undertaking of finance business, securities business, and credit foncier business (FC.); □ a securities company under the law on securities and exchange (SC.) licensed to operate
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of