experiences and qualifications of the person whom the applicant will appoint as the authorized person of securities registrar; (4) rights, duties and responsibilities between the securities registrar and the
who is supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in
supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in the
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
the following qualifications; (1) Being a permanent staff member who is able to work full-time for a management company or being a director of the management company who does not hold any other
Market Supervisory Board TorThor/Nor/Khor. 58/2552 Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) 03/08/2009 01/09/2009 9
Market Supervisory Board TorThor/Nor/Khor 87/2552 Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) (Synopsis) 03/08/2009 01/09/2009
Infrastructure Fund _____________________ Clause 6. Person with the following qualifications shall be deemed to have been approved by the SEC Office as manager of infrastructure fund: (1) being a person whose name
documentation demonstrating that it has qualifications as stipulated in Division 2 of this Chapter. In case of the company stated in Clause 4(2), the following evidentiary documentation shall be submitted as well