Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11
supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives
banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
condition of repayment before the maturity date within 1 year, regardless of the term of a put or call option or any other similar condition, unless such condition has been waived by the SEC Office; (b
or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive
an investment unit of a mutual fund, certificate of trust having characteristics similar to a mutual fund or other securities prescribed by the Securities and Exchange Commission as the securities with