Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution

provision relating to the restriction of rights and liberties of the person, while Section 29 along with Section 35, Section 36, Section 45, Section 48 and Section 50 of the Constitution of the Kingdom of

Bhumibol Adulyadej has been graciously pleased to proclaim that: Whereas it is deemed expedient to enact the law governing provident funds; Be it, therefore, enacted by His Majesty the King, by and with the

Exchange Commission Governing Undertaking of Other Business of Securities Companies B.E. 2552 (2009) ___________________ Whereas Section 98(8) of the Securities and Exchange Act B.E. 2535 (1992) as amended

before cancellation of the suspension thereof. While the revision and updating of client information under subclause (3) of the first paragraph is in process, the intermediary is allowed to provide

system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or

(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require

; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

consequence thereof. In this regard, while awaited delivery of the asset or investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board