-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All

Derivatives Business Letter No. …………… Date ...........………………….. Attention: Secretary General Office of the Securities and Exchange Commission Re: Application for Approval of Appointment of an Executive of a

กรณีบริษัทจัดการกองทุนรวมและบริษัทจัดการกองทุนส่วนบุคคลที่มิได้ประกอบธุรกิจอื่น (Pure Private Fund) กำหนดห้ามมิให้มีการลงทุนในลักษณะ short term speculation (แก้ไขจากหลักการตามที่ประชุม focus group ก่อน

employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting

applicant for investor contact such as educational background, relevant work experience, and focus on the passing of course on relevant business knowledge and regulations, (2) to revise rules on applying for

information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on the underwritten securities or other related securities, compared to other general

paper whose content is an update of or an addition to information previously disseminated; (3) an article or research paper whose content does not emphasize or focus specifically on underwritten

evaluation, reporting to the delegator, an inspection of compliance to the agreement and the capability of the delegatee in handling the business workload (concentration risk). 3. There should be a contingency