to the following regulations: (a) in case of portfolio advisory , there shall be appropriate asset allocation or execution of capital market transactions; (b) in case of investment strategy of program

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross

performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the

areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________

securities and; (b) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company

company [unless indicated otherwise], including: (a) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of any securities and; (b) a

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange