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
accordance with the category or characteristic as notified by the Office. Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing for the purpose
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
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
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
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means 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
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons
discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a
correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving