virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to

to ensure the uniformity of the operating standards, the Office shall have the authority to issue notification specifying rules, conditions and procedures on the following matters for the management

Notification of the Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and this English

companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or

status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business

specified as related person prescribed by this notification (1) In general cases (a) Management company which responsible for operating the fund; (b) Person, which is not state agency, holds shares in the

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

Capital Market Supervisory Board, hereby issues this Notification, as follows: Clause 1 The Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information