for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its

give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A

knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the

period of emengency incidents happened for checking asset balance and doing transactions, and action measures of companies. Also, companies shall periodically communicate a progress of operation in case of

departmental level of a company. “ branch manager ” means a manager of the branch office or a person responsible for the operation of a branch office. “ fund manager ” means a mutual fund manager or a private

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

” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making

restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and