and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one

investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a

competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and

: Facsimile: ________________________________ Objectives of the fund from the securities offering at an approximate amount of _________ _baht are as follows: use of proceeds Estimated amount Estimated period of

worth investor ,” and “ high net worth investor ” shall have the same meanings as the definitions of such terms specified in the Notification of the Securities and Exchange Commission concerning the

securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as

ตามที่สำนักงานเสนอ แต่มีบางราย เสนอให้มีการเพิ่มขอบเขตของผู้ลงทุนให้รวมถึง นักลงทุนประเภท high net worth · คณะอนุกรรมการพิจารณาร่างประกาศ (ซึ่งมีผู้แทนจากภาคธุรกิจ) และสำนักงาน เห็นควรขยายขอบเขตให้ทำ

worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify __________________________________________________