for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting rights according to the

the capability of the derivatives broker in undertaking derivatives business continuously, the derivatives broker shall set up an implementation plan or measures in the case where derivatives broker or

securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

to the client which shall operate at least during the office hours of the securities company . (2) publicize or disseminate the information on the implementation under (1) to the client ; (3) disclose

19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

) information technology management and implementation; (6) management of client’s information regarding only collecting, organizing and analyzing the information. In this respect, if such work is related to the

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A