prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

which keeps records of securities purchasing or selling transactions other than those recorded in a margin account ; (4) “ securities depository center ” means a securities depository center under the law

Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of

securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in