Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as

Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which

it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a

Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first

mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

for an approval and the granting of an approval shall be in accordance with the rules, conditions and procedures as specified in the notification of the SEC.

securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act

have the power to specify in its notification the rules with which derivatives business operators shall comply.

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules