Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification

affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the

security relating to information systems in accordance with the following criteria: (1) define operating procedures relating to the information systems to ensure correct and secure operations; (2) establish

with the following criteria: (1) define operating procedures relating to the information systems to ensure correct and secure operations; Additional Guidelines 1. The intermediary should document

regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating

which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients which prohibited under section 126(1) and section 139(5), as the

reference. 14 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

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 dated 6