The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

. During the period that an auditor of the audit firm has been registered with the SEC, I certify that the audit firm will regularly review and maintain the audit quality control system to comply with ISQC1

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days. Clause 9. In case where the custodian can not maintain its

of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

where such major shareholder is a legal entity, its director, manager and partner do not have any of such prohibited characteristics; 6) Being able to show its sound and effective management system; (7

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the