following regulations: Clause 1. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private

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in the Category of Investment Advisory Service   15. Report/Form (Notification of Securities and Exchange Commission) Form 90-20 Application for a License to Undertake Securities Business in the

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characteristics of personnel in the capital market business of the 3rd category under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel

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service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities