NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Notification of the Office of The (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
characteristic as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of
and the Notification of the Capital Market Supervisory Board concerning qualifications and other prohibited characteristics of the securities company’s executives;6 (5) being able to show that person
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the
application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such person appointed by the management company to act
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
or any equivalent position called otherwise shall not be held by the same person.” Clause 2 This Notification shall come into force from 1 January 2021. Notified this 28th day of February 2020