), Section 109 and Section 117 of the S ecurities and Exchange Act B.E. 2535 (1992) , and Paragraph 2 of Section 133 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and
manager” means a mutual fund manager or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties
mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural
category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means
; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural person who is authorized
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
may be; “auditor” means a certified public accountant who has obtained an approval from the SEC Office; “trust manager” means a person performing the duty of a trust manager pursuant to trust instrument