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
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
use clients’ assets for the benefit of another client, other persons, or itself, unless given a written order or consent from the client, on a case-by-case basis. Clause 11 A securities company shall
work is to provide services for other persons or for the benefit of the company itself; (4) “Executive director” means any person who is appointed by the board of directors as executive director or
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
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
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive
protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities