approval to act as a mutual fund manager. In this regard, such person may perform duties as a mutual fund manager and a private fund manager in the same management company if such management company is also
have the same qualifications as the persons under the second paragraph. Clause 3. In considering the qualifications for the registration of fund supervisor, the person seeks to file an application for
number …………….... (4) Contact address (Blank if the same as in (3)): Address No. …….………... Moo No. ………….... Trok/Soi ………......…. Road …………….... Tambol/Subdistrict …………... Amphur/District ……. Province
. …….………... Moo No. ………….... Trok/Soi ………......…. Road …………….... Tambol/Subdistrict …………... Amphur/District ……. Province …………… Postal code ……..…….. Telephone number …………….... (4) Contact address (Blank if the same
within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody
securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one