the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

of Derivatives Business Operators dated 31 October 2005 shall be repealed. Clause 2 The SEC Office prescribes guidelines for the application and approval for appointment of person to be director or

Notification on Standard Conduct of Business, mutatis mutandis, except in the case where this Notification prescribes specific regulations otherwise. 2 In contacting and providing services related to selling

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms

and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms “institutional

the Office of the Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically

Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies concerning the Connected Transaction, B.E. 2546 (2003) (as amended) specifies the duties of the company to prepare and

compliance with the internal control . 5.4 The board of directors and executives do not put excessive pressures on each personnel duties. Risk Assessment 6. The organization specifies the objectives with

mutual funds: (1) Mutual funds whose investment policy specifies investment in derivatives with the objective of hedging and the underlying asset or the variable of the 8 derivative is not one and the same

knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the