limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock

capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and

concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means

concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of

nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of

of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following

affect the conformance of such policy, the board of directors of the intermediary shall be informed without delay. Additional Guidelines 5. In complying with Clause 6(4), the intermediary should undertake

Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange