for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
use clients’ assets for the benefit of another client, other persons, or itself, unless given a written order or consent from the client, on a case-by-case basis. Clause 11 A securities company shall
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
redemption order of investment unit to ensure the compliance with the time specified in the prospectus in order to prevent late trading that may have unfairly benefit to other unitholders. 3.2 Investment
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a