. Provisions in the Notification No. Sor Thor. 37/2559 Clause 18 An intermediary shall establish physical and environmental security measures to protect IT assets in accordance with the following criteria: (1

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at

total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners

following Acts shall be repealed: (1) The Securities Exchange of Thailand Act B.E. 2517; (2) The Securities Exchange of Thailand Act (No. 2) B.E. 2527. SECTION 4. In this Act "securities" means Published in

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best

its accuracy, nor be held liable for any loss of damages arising from or related to its use. ** Published in the Government Gazette, Volume 120, Part 65 Kor, dated 10th July B.E. 2546, and became

force from 16 April 2002. Notified this 28th day of March 2002. - Signature - (Mr. Somkid Jatusripituk) Minister of Finance Chairman of the Securities and Exchange Commission Published in the Government