Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

ประกาศคณะกรรมการกำกับตลาดทุน UNOFFICIAL TRANSLATION Codified up to No. 3 As of 4 January 2013 Readers should be aware that only the original Thai text has legal force, and that this English

securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information

and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the

amend by the Derivatives Act (No. 2) B.E. 2551 (2008) which contains certain provisions in relation to the restriction of right and liberty of person which Section 29 in conjunction with Section 33

damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities

Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any

correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving

reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of