and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees

guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains

Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking

reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an