Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

in Clause 13(1) (a) and (b); (2) In case of advertisement related to ratings or awards other than that specified in (1), the securities company shall present only information under (1)(b) 1. to 3

or awards other than those specified in (1), the securities company shall present only information under (1)(b) 1. to 3. Clause 11. In advertising the fund, the securities company shall at least have

EDITED PAGE (Unofficial translation) PROVIDENT FUND ACT B.E. 2530 * BHUMIBOL ADULYADEJ, REX., Given on the 30th day of November B.E. 2530; Being the 42nd Year of the Present Reign. His Majesty King

securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory

mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural

necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or securities business, or the

Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics