of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for

derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators

Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

such change to the SEC Office within seven days from the effective date of the change specifying therein the effective date of such change. Clause 3. The SEC Office shall notify the derivatives business

on the register of persons qualified to be fund manager. In this regard, the management company shall appoint not more than one person from such register pursuant to the specific rules under Clause 7

which causes a movement or change in the client’s assets for a consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of

procedure; (10) The Financial Institutions Development Fund; (11) The Government pension fund; (12) Mutual funds under the securities and exchange law; (13) Juristic persons with investment fund of Baht one

Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 3) B.E. 2546 (2003), paragraph two of Section 133 and paragraph one of Section 134 of the Securities and Exchange Act B.E

professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in