spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in a number exceeding

underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding

relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1

fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance

. Notification of the Capital Market Supervisory Board Tor Jor. 12/2559 Re: Application and Approval for Offer for Sale of Structured Notes ____________________ By virtue of Section 16/6 of the Securities and

services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge

mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA

(“structured notes”) : ใหแสดงคําเตอืนเพิ่มเติมวา กองทุนรวมมคีวามเสี่ยงมากกวากองทนุรวมอื่น จึงเหมาะสมกับผูลงทุนที่ ตองการผลตอบแทนสูงและสามารถรับความเสี่ยงไดสูงกวา ผูลงทุนทั่วไป และผูลงทุนควรลงทุนใน