director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for

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

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

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

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

executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange

case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has

including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company

กฎหมายต่างประเทศซึ่งสามารถให้บริการเป็นศูนย์ซื้อขายสัญญาซื้อขายล่วงหน้าได้ตามกฎหมายของประเทศนั้นและอยู่ภายใต้การกำกับดูแลของทางการหรือหน่วยงานที่ทำหน้าที่กำกับดูแลด้านสัญญา ซื้อขายล่วงหน้า (regulated