. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit

Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and

conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3) an efficient system for receiving and

Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

) an efficient system for receiving and executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary ’s offices, for example, internal audit

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of

company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and