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
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
where such financial institution operates; (2) being a creation of obligation related to permissible investment of private funds in accordance with the Notification of the Capital Market Supervisory Board
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of
investment in securities and assets that may cause conflict of interest (10) Warning on the risk to clients that capital and interest (remuneration) may not be refunded in an amount equals to the capital in
arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a
loan Proceeds from issuance of debenture and long-term debt instruments Redemption of debenture and long-term debt instruments Increase in issued and paid-up share capital Additional paid-in capital Cash
from the closing date of the subsequent offering of units to increase the fund’s capital , as the case may be. Clause 24 The management company shall ensure that the commitment between the unitholders
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital