Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
renewal application shall be submitted by the securities company. The provision in the second and the third paragraph of Clause 7 shall apply to the renewal for approval for investor contact mutatis
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
provision relating to the restriction of rights and liberties of the person, while Section 29 along with Section 35, Section 36, Section 45, Section 48 and Section 50 of the Constitution of the Kingdom of
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
whose provision of derivatives business is limited to institutional investors. The institutional investors in Paragraph 1 means the institutional investor under Section 3 and the Notification of the
aforesaid provision, the SEC Office, by virtue of Clause 4(1) in conjunction with Clause 18(2) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and