. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or

exercise precaution and refrain from using the organization’s information systems which may likely damage the intermediary or the capital market or have an impact on the national security, and that they are

derivatives broker shall exercise its prudence by reviewing the financial status, sources of income, and assets to be placed as collateral or for repayment in derivatives trading. Clause 23. Prior to opening an

Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory

virtue of such laws regarding management in the manner of deceit, fraud, dishonesty relating to offence against property, or lacking due care, loyalty or practice on code of conduct as a professional

and procedures as provided on the website of the SEC Office within 15 days as from the last date of each month having redemption or exercise; (2) the report of the exercising right to purchase

exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the

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