investors ” “ high net worth investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholde r ” and “ controlling person ” shall have the same meaning as

services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by

in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of

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

approval in that specific case and that the benefit to be gained does not worth the cost to be incurred in complying with the said rules or conditions; (2) the management company is subject to restrictions

the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This

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

. Friday 20 May Visakha Bucha Day 10. Friday 1 July Mid-Year Closing Day 11. Tuesday 19 July Arsarnha Bucha Day 12. Friday 12 August H.M. the Queen’s Birthday 13. Monday 24 October Substitution for

Songkran Festival 5. Tuesday 15 April Songkran Festival 6. Thursday 1 May National Labour Day 7. Monday 5 May Coronation Day 8. Monday 19 May Wisakha Bucha Day 9. Tuesday 1 July Mid Year Closing Day 10

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