Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

twenty-five million baht as of the filing date of the application; (2) being able to demonstrate the ability to comply with the conditions concerning the paid-up capital as prescribed under Clause 10(4

ประกาศคณะกรรมการกำกับตลาดทุน (UNOFFICIAL TRANSLATION) Codified up to No. 6 As of 17 May 2013 Readers should be aware that only the original Thai text has legal force, and that this English

fund management to customers. Clause 5. Any management company wishing to establish a branch office shall submit an application to the Office in accordance with the forms and procedures prescribed by the

SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English

) back up copies of critical business information, computer operating systems, application software as well as take and test program source code at least once a year. Additional Guidelines 1. The

misled investors in a manner of concealing or disguise or making up non-existing facts in material transactions or operation. (d) having withdrawn an application for an offer for sale of newly issued

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the