and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (Synopsis)   05/01/2005 01/04/2005 4

profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain

Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992

of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment

Appointment of Agents to Facilitate Passing on of Orders for Trading of Securities or Derivatives The Notification of the Office of the Securities and Exchange Commission No. SorThor. 1/2561 Re: Rules in

) Related Service Providers : include fund supervisors, (sub-) custodians, proxy advisers, investment consultants and trustees who are agents with responsibility for the maintenance and safekeeping of the

SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management

performance of introducing broker agents, and (3) establishment of compliance unit of digital asset business operators to be in line with the regulations governing securities business operators and

of Investment Units dated 20 July 1992, and (2)  Notification of the Office of the Securities and Exchange Commission regarding Appointment of Investment Unit Selling and Redemption Agents dated 6

agents, etc.