and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By

records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve

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

) shall be returned to the client . In proceeding with the actions under the first paragraph, if the SEC Office fails to contact the client or the client fails to retrieve the assets, the SEC Office shall

investment management of mutual fund for institutional investors or ultra- ultra-high net worth investors (Ultra Accredited Investor Mutual Fund) which implements an investment strategy similar to that of a

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net

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

market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries

(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should