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

is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the

private fund management is the service on the management of the investment capital of investor which is the kind of business which the service provider shall have creditworthiness and trust to manage

Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for

should be verified; 1.2 Roles and responsibilities of high-level management Objective The management company is a vehicle which raises funds from retail investor to invest in capital market, therefore it

Unless otherwise specified by the provisions of this Act, the SEC, the Capital Market Supervisory Board, the SEC Office, the board of directors of the Securities Exchange, and the Securities Exchange shall

accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will

High Net Worth Investor and High Net Worth Investor . Clause 3 A securities business license applicant and licensee shall have paid-up registered capital of no less than the following amounts: (1) one

Capital Market Supervisory Board concerning Rules on Personnel in Capital Market Business ; (25) any other investors as specified by the SEC Office. Clause 5 An ultra-high net worth investor shall refer to