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

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

information. In this regard, the mobile devices shall be registered prior to the intended use and such registration shall be reviewed at least once a year and upon any replacement of mobile devices; (2

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

manner, and having been acquitted for less than three years as from the date when the court has sentenced thereof; (3) the persons whom could not be directors, managers, persons with authority to manage an

Notification of the Office of the Securities and Exchange Commission governing providing of work systems for proprietary securities investment; (6) purchase or sale for its own proprietary portfolio to manage

replacement of mobile devices. Additional Guidelines 1. In the operation with the use of mobile devices to access the organization’s internal operating system, excluding the mail service system, the

Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the