Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus

reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail

investment scheme offered in Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective

Clause 3 and Clause 4 as well as the following information: (1) customer type, by indicating whether the customer is an institutional or retail investor, and also indicating the case where a customer is

units of open-end fund under management of such mutual fund management company, provided that, just in the case which the company cannot redeem investment units of such open-end fund appropriately due to

Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange

Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading