definition of “parent company”, “subsidiary company”, or “associate company” under Paragraph 4 shall mutatis mutandis be similar to the definition of such terms in the Notification of the Securities and
Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ securities ” means the securities by definition given under
accordance with the Notification of the Office of the Securities and Exchange Commission regarding Determination of Definition of Investor Having Specific Characteristics . The term, “ crowdfunding ” shall
explanation of reasons supporting the selection of credit rating for inspection made by the SEC Office. Clause 19 A securities company may agree with a client on the rate of return which the securities company
concerning Determination regarding Definition of Institutional Investor and High Net Worth Investor Who Do Not Request to Take a Suitability Test; (2) high net worth investors as prescribed in the Notification
meaning as the definition of such term under the Notification of the Capital Market Supervisory Board governing Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities
, “ mutual fund for institutional investors or ultra-high net worth investors ” shall have the same definition as specified for such term in the Notification of the Capital Market Supervisory Board concerning
relationship as well. The definition of the terms “parent company”, “subsidiary company” and “affiliate company” in the second paragraph shall be complied with the definitions in the Notification of the
. The word “option contract” means the contract with the characteristic as specified in (3) of the definition of “derivatives contract” under Section 3 of the Derivatives Act B.E. 2546 (2003). Clause 12
also comply with the explanation attached hereto. Clause 4. In the case where the securities company desires to submit a financial statement under Clause 3 to the Office in the form of electronic data