in the agreement; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to

for foreign investors or the exempted person under Section 103(7) or (8)(b) or (c) of the Securities and Exchange Act B.E. 2535 (1992). Clause 4. An executive of any securities company shall not possess

securities company shall not possess any prohibited characteristics as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly

fund management; “Office” means the Office of the Securities and Exchange Commission. Clause 2. Any commercial bank under the laws governing commercial banks, finance company under the laws governing the

businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial institution established under specific laws, who

Guidelines on the Consideration of Definition “Company” under Section 89/1

Exemption for Filing of Registration Statement for Offer for Sale of Securities Issued by Foreign Company

Determination of Securities Issuer Deemed as a Company