reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
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
licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the
the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
Commission hereby issues the following regulations: Clause 1. In this Notification, (1) “Securities company” means any company licensed to undertake securities business in the category of securities brokerage
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers