limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock

NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is

assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The

The Office of the Securities and Exchange Commission (Translation) (Translation) 5 Readers should be aware that only the original Thai text has legal force and that this English translation is

approval terminated prior to the expiration of the approval term under the events set out in the Notification of the Office of the Securities and Exchange Commission concerning approval for investor contacts

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 business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no

. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or

company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work