Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

preserve the rights offering obtained from being a shareholder of such listed company. In this regard, the rights offeror may be either the listed company wherein the client is a shareholder or the issuer of

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and