prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional

settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client , in which case the

opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a

as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of

regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital

transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer

consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of

and volume of transactions. The Thailand Futures Exchange Plc and the Office of the Securities and Exchange Commission prescribe no regulation on commission rates. 3.3 Risk of Liquidating Position and

daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an

trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s resolution accordingly. Notified this 1st day of