submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

undertake the business as approved. Clause 8. Any changes in the operation system from the system approved by the Office, the custodian shall notify the Office in advance in writing. If the Office has no

income, expense in advance, property pending sale etc.. In the case where any other assets amounts to five percent or more the total assets, it shall be separately demonstrated next to item No. 10

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

publicly about sale promotion in advance within appropriate period; (5) in case of sale promotion of offering for sale of investment units, a securities company licensed to undertake mutual fund management

companies who will be allotted the units proportionally to their shareholdings: 1. the listed company that will be selling, transferring, leasing or granting the rights in the infrastructure asset to the fund

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for 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 Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring