Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9

fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term

company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2