, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

executive of the company; [ specify director or executive’s full name ] 3. Where it is apparent to the SEC Office that I have characteristics indicating untrustworthiness, the SEC Office may de-list my name

supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management

person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an