baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

(Ramadan Day) announced by the Sheikhul Islam Office if it does not fall on any of the holidays listed above or Saturday and Sunday. Notified this 31st Day of August 2007. - Signature - (Mr. Thirachai

, establish physical entry control to ensure that only authorized personnel are allowed to access, and conduct a periodic review on the access rights granted; 3. The intermediary should establish the security

สมาชิกสำนักหักบัญชีตกลงให้ TSD โอน-รับโอนหลักทรัพย์ผ่านบัญชีด้วยวิธีการโอนทางบัญชี (Book Entry) จากสมาชิกรายหนึ่งไปยังสมาชิกอีกรายหนึ่ง ซึ่งจะโอนหลักทรัพย์ตามรายงานข้อมูลการชำระราคาและส่งมอบหลักทรัพย์ของ

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

Audit Firm is requested to disclose to the names of its audit engagement clients in the last accounting period, particularly: A. The businesses fall under Clause 3 of the Notification of the Office of the

, which does not fall into the prohibited underwriting under Clause 3, such securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related

persons, which does not fall into the prohibited underwriting under Clause 3, such securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related