the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major

/ policy 1.2 Capital of the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6

trading , there shall be a parameter for an automated program for capital market product selection and trading placement. In this regard, the intermediary may appoint an investment committee comprising the

compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a

of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of

providing securities services (front office) from those responsible for operational function (back office), and shall put in place a check and balance system among personnel of such units. At least, no

Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992) which contain certain provisions in

establish a branch office shall name the branch office by having the words “branch office” at the front followed by the name of the management company. Clause 8. In the case where the branch office shares the

Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force from the day following the date of its publication in the Government Gazette except

make decision in securities dealing for the securities company. Clause 7. A securities company shall separate front office units and personnel from its back office, and must provide a system of check and