’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph

have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file

as attached to this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such

this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such reports even

or director of derivatives exchange, or derivatives clearing house; and (b) the action taken according to (a) due to the performance of duty as a staff holding a position that affects the

used its due care to determine the entering into this transaction. In this regards, to guarantee that STEC will perform its duty under the agreement (including duty to pay the remaining purchase price to

characteristics as specified; and (2) a person who is a director or a person with the controlling power of a juristic person with the duty of asset custody or protection of customers’ interest in securities

be; (3) the CIS operator shall deliver the information under sub-clauses (1) or (2) to the securities company within the same period as having duty to deliver to investors or submit to home regulator

Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator

1,249.63 million and THB 729.06 million respectively. This equals to a sharp decline of 41.66% year on year. Domestic sales revenue dropped 43.82% from the same period of the previous year due to an