Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
ASEAN country. “ general consultation ” 9 means giving of consultation without considering the appropriateness of investment, the objective of investment, the financial position or the demand of any
approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause
objective of each client . “ investment analyst ” means a person providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11