(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
. 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
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 5/2560 Re: Rules on Personnel in the Capital Market Business (No.6) dated 9 February 2017 (effective on 1 January 2018). 3 (d) structured
denied inclusion into the database of the list of directors and executives of securities issuing companies due to possession of prohibited characteristics; 7. being under the period prescribed by an order
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
methodologies. For example, a CRA should assess whether existing credit rating methodologies and models for determining credit ratings of structured finance products are appropriate when the risk characteristics
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept