Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the

advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow

Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of

account, and shall trade derivatives contract through off-exchange with a counterparty which is a financial institution or a foreign financial institution or through derivatives exchange only when obtains

works and allocate its resources for business continuity management effectively by taking into account of impacts, either financial or non-financial, on customers, personnel, subsidiary companies

companies shall not allow the use of anonymous or fictitious names in opening of accounts or conducting securities transactions. Clause 12. In case where an account is opened by a financial institution in

customer. Clause 19. Derivatives broker shall arrange to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment

account the financial market and capital market, politics and social condition: - Industry analysis: - Study and analysis of fundamental factors of the business to be invested. (3) Prescription of criteria

be submitted to the Office. Preparation of the balance sheet and the profit and loss account for the first six months of the financial year in accordance with the first paragraph and the publication in

this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers