spending in redemption of treasury stock Cash receiving from the sale of treasury stock Payment of dividend Net cash from financing activities Net increase (decrease) in cash and cash equivalents Cash and

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange

Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose

; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive

capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and

of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ

client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the