computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6
performance for client’s acknowledgement by comparing the performance with the benchmark in consistent with the portfolio advisory or investment strategy of program trading and such benchmark shall be the total
and notify the client of such information without delay. Clause 41/7 An intermediary shall disclose the information on performance for client’s acknowledgement by comparing the performance with the
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
from the date of acknowledgement of such misconduct. Clause 13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such
relating to clients’ assets. Clause 7 In undertaking custody of clients’ assets, a securities company shall proceed as follows: (1) give information and have its clients sign for acknowledgement of
given by the audit committee or any board member. Please be informed for acknowledgement, Sincerely yours, Mr. Wutichai Leenabanchong Chairman