management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

measures for prevention of conflicts of interest. Clause 4 . The management company shall submit to the Office the following information relating to its property fund managers in the forms and procedures

compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and

the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least

UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557

under Clause 8 of the Notification No. TorNor. 75/2552 relating to the distribution of money and documents to the unitholders shall not apply to the distribution of money and documents to the unitholders