translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use

dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with

grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------------- Notification of

one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of

rates as specified in paragraph one hereof. Clause 5. The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees

reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of The Office of the Securities

in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an

strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. Securities and Exchange