Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2

Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange

; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds

Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading

account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for