Intermediary _____________________________ By virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement
Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By virtue of Clause
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis. 2 Chapter 1 General Provisions _____________ Clause 4 An intermediary which
function under Clause 8 to the following third party without submitting an application for obtaining the approval under Clause 12: (1) a financial institution, or the intermediary ’s affiliated company whose
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated