derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid

of money used in investment is immaterial compared to the deposited amount; (9) terms and conditions of the client’s payments and settlements indicate an attempt to avoid conducting transactions

interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5) carefully perform duties to avoid

important and relevant information sufficient for investors’ decision making; (4) Keep investors’ confidentiality; (5) Carefully perform duties to avoid conflicts of interest. In case such conflicts cannot be

investment capital with knowledge, ability, prudence and integrity in considering with the best benefit of investor. To avoid entering into transaction that may create conflict of interest between the fund and

(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd 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 trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...

Thai or foreign laws; (4) being a person subject to a suspicious ground of being arranged for the person with the characteristics under (1)(2) or (3) to avoid compliance with the regulations for

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...