for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
damage to the company or the shareholders or any ill- gotten gain by myself or any other person; (2) Any behavior in respect of disclosure or dissemination of information or statement concerning the
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain
take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this