reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s

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

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 8 December 8 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

information technology governance policy, which contains at least the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of

(UNOFFICIAL TRANSLATION) Codified up to No. 4 As of 8 December 2016. Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference