. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of

to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies

securities, derivatives contracts, other assets, short sales, creation of obligations or seeking of interest or benefit by other means, as the case may be, which each type of funds can invest or acquire, as

implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting

passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license

Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities

have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory

has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business