(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2 This Notification shall apply to securities underwriting made for a
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
Stock Exchange of Thailand; “ investment unit ” means: (1) The investment unit specified under the Law on Securities and Exchange ; (2) A financial instrument or certificate representing the right of the
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means