Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) and Section 9 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the

management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has

. 2551 (2008) , which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section

from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to and in the best interests of each client, as well as monitor and supervise

accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply with the rule prescribed by the

contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of

) B.E. 2551 (2008) and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in relation to restriction of rights and liberties of

suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted principles and have reliable