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

-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All

selling, transferring, or redemption before maturity, and shall have credit rating according to clause 7/2; (5) investing in investment unit of money market fund which has unit repurchasing policy on a

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to

contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other

shall be observed. Clause 15/2. When investing in real estate or leasehold right after the initial investment with related person under Clause 20(1)(a)(b)(c)(d)(e)(f)(g), the mutual fund management

restriction on selling, transferring, or redemption before maturity, and shall have credit rating according to clause 18/2; 5. investing in investment unit of money market fund which has unit repurchasing