the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange

virtue of Section 14 and the second paragraph of Section 100 of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008

Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of

. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the

incorporated into a single notification. By virtue of Section 14, Section 100, Section 109, Section 117 and Section 124 of the Securities and Exchange Act B.E. 2535 (1992), Section 126(5) of the Securities and

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

Exchange Commission No. SorNor. 27/2550 Re: Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager __________ By virtue of Clause 2 (1), Clause 10 and Clause 19 of the Notification of