proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in

to the following regulations: (a) in case of portfolio advisory , there shall be appropriate asset allocation or execution of capital market transactions; (b) in case of investment strategy of program

Clause 11 3 In entering into a transaction for a fund with a management company or a connected person , the management company shall comply with the following rules: (1) the execution of a transaction

transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross

Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the

from the service user. In this regard, the provisions in Clause 4(3) shall be applicable, mutatis mutandis. (3) having transparent disclosure of information related to execution of trading transactions

) B.E. 2551 (2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of

(2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of persons which

August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of

may Create Conflict of Interest on Private Fund Management dated 24 August 2001. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Special mutual fund” means any mutual fund