General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of

of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities

and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the