undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange Commission
to the following rules: (1) In case of a natural person, the management company shall appoint a person approved by the Office pursuant to the Notification of the Office of the Securities and Exchange
Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint
for Registeration of Person Qualified to be a Mutual Fund Supervisors 8. Report/Form (Notification of Securities and Exchange Commission) Certified Statement Form Relating to Acting in Compliance with
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
person” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning 2 Determination of the Definitions in [Other] Notifications relating to Issuance and