) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements; (15) any other

Security Fund; (13) listed companies on the Stock Exchange of Thailand; (14) juristic persons incorporated under the law of Thailand with the assets of five billion baht or more in the financial statements

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

securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty

--------------------------------------- Clause 5. Derivatives broker shall set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage

selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit

the notification of the Stock Exchange of Thailand Re: Rules, Procedures and Disclosure of acquisition and disposal of asset of the listed company should be applied mutatis mutandis (c) Appointment and