, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage
from service provider. Clause 11. Securities company having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective
Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Warot’s
): ______________________________________________________ 2) Home Economy: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal Character of ARFP Passport Fund
applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is
) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is possible) General Equity Fund Bond Fund Mixed Fund Feeder Fund
exercise of warrants, provided that the resolution is obtained no more than one year prior to the date of filing an application under Clause 5; (3) in cases where the applicant is a listed company wishing to