Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
relevant Notification of the Capital Market Supervisory Board relative to Prohibited Characteristics of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of securities
and Exchange Act B.E. 2535 (1992); Clause 11 This Notification is inapplicable to an appointment of person to be an investment consultant, investment planner or investment analyst in any of the
Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital
Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 87/2552 03/08/2009 01/09/2009 5. Notification of Capital