to perform the duties under Clause 23(1), subject to the prohibited characteristics of the personnel in the capital market business under Clauses 31(3) of the Notification of the Capital Market

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

another person, called a trustee, with trust and confidence in order https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-trustact.doc Translation established under following Notifications

The notification of the Ministry of Finance regarding prescription of conditions for securities company to apply for approval of person to be major shareholder defines the “Major Shareholder” as

possible conflict person of the applicant holding shares in its subsidiary company or associated company more than 10 percent of the total number of 2 Amended by the Notification of the Capital Market

cumulative value of 0.23%, which is accounts for less than 15%; therefore, no obligation to disclose the information in pursuant to the Notification of the Stock Exchange of Thailand, Re: Disclosure of

01/03/2017 2. Notification of the Securities and Exchange Commission  KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

Exchange Commission) Report I1 (Report on Status of Investment in Derivatives and Embedded Derivatives instrument of All Mutual Funds Under Management)   9. Report/Form (Notification of Securities and

) ” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order

) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Property Fund to Solve the Problem in https://publish.sec.or.th/nrs/4003pe.doc