cost of funding. The interest rate charged from the transaction is considered to be a market rate as dealing with financial institution and close to the rate that the Company funding from financial

. 55/2552 Rules, Conditions and Procedures for Brokerage, Dealing and Underwriting of Investment Units   03/08/2009 01/09/2009 12. Notification of Capital Market Supervisory Board  TorKhor. 56/2552 Rules

01/09/2009 12. Notification of Capital Market Supervisory Board   63/2552 Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment Units

147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114

Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114) | - |- Dealer of capital market product denominated in foreign currency | - |- Know

securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in

brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border

category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital