under either Automatic Order Matching (AOM) method or Trade Report method, through securities companies to be appointed by the Company to be a broker of NINE’s shares, one time or several times within

shall be conducted when the value of units of the approved foreign collective investment scheme falls within the foreign investment allotment that the Bank of Thailand has specified to control capital

Intermediary Clause 19 An intermediary shall report the appointment and the discontinuation of the following persons to the SEC Office through a system prepared on the website of the SEC Office within 7 business

director” means any person who is responsible for the operation of a department within the company; “Company” means any limited company or public limited company and shall include any juristic person

or authorized to make decisions on the company’s operation on behalf of the board of directors; “Department director” means any person who is responsible for the operation of a department within the

authorized to make decisions on the company’s operation on behalf of the board of directors; “Department director” means any person who is responsible for the operation of a department within the company

of an applicant within the period of 3 years preceding the year of application filing until the date of application filing. Provided that, after submitting the application, if it appears that the

, who are responsible for the asset custody function of an applicant within the period of 3 years preceding the year of application filing until the date of application filing. Provided that, after

of securities company, or the issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of

issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of Particulars of Client’s Assets