written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by the board of directors or a working committee appointed by the

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office

agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into

) , Section 98(3) (5) and (7), the second paragraph of Section 100, the first paragraph of Section 109, Section 114, Section 115, Section 116 and Section 117 of the Securities and Exchange Act B.E. 2535 (1992

investor contact is given for two years period, the first approval takes effect as from the approval date and the two years period shall be counted from the 1st January of the following year. Clause 8. Any

Exchange Act (No. 4) B.E. 2551 (2008) , Section 98(3) (5) and (7), the second paragraph of Section 100, the first paragraph of Section 109, Section 114, Section 115, Section 116 and Section 117 of the

the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely

on Holding of Investment Units of Mutual Funds and Duties of Management Companies. The intermediary shall dispose of the units invested under (1) of Paragraph 1 at the earliest occasion by taking into

the fund; (b) not being a trading of investment units between mutual funds under the same management company, which is prohibited under Section 126(3). When engaging in a transaction under the first