approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
information to the prospective investors. The management company may offer the units for sale upon satisfying the conditions in (2); (2) the offering of the units may commence upon complete compliance with the