Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact service or back office service; “Securities
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
mechanism and provide investor education to empower and equip investors with enough mechanisms in exercising their rights and protecting themselves ● Improve operating procedures to assure that legal
investor. The management company must request the investor to provide such information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which
prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient information disclosure to investors. It is thus
(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
for the person who is designated by the Institutional Investor to provide further information. The SEC retains on its website a list of I Code signatories for the benefit of clients in choosing Asset
section 258 of the investor) as specified in the Securities and Exchange Act. B.E.2535 (as amended) (if any)) still being the major shareholder (the major shareholder means shareholding percentage exceed 10