regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange

implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their

giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand

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

Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...