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
protect the staff of management company by not taking the opportunity concerning with the management of fund seeking the benefit for himself that may create conflict of interest to the fund, management
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
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor and a trustee are the same person
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive