Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Rules, Conditions and Procedures for Securities Underwriting ; (2) “ offeror ” means the promoters of a public limited company, a company or owner of securities who have offered for sale of securities to
such mufti-infrastructure businesses. (5) “ company ” means a limited company or a public limited company; (6) “ alternative energy ” means a business that generates energy from non-depletable energy
and the Public Limited Company Act, B.E. 2535 (1992) 26.1.2 others means the amount appropriated from retained earnings for any purpose under the resolution of shareholders, which shall be classified
securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than 15 million baht and [net
including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
securities and; (b) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company
securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company ” means a securities company