or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest

compliance therewith. Clause 23 In the case where the SEC Office finds that any securities company violates or fails to comply with this Notification or the rules issued by the securities company , or acts

Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business

management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order

) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 29/2549 Re: Acts That May Create Conflicts of Interest on Fund Management and Preventive Rules dated 19 July 2006; (2

advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the

under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the