Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being Director or Executive, but not the position of Manager
damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 30/2558 Re: Approval of Foreign Auditors Whereas Section 61, Section 89 and Section 199 of the Securities and
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 43/2544 Re: Rules, Conditions and Procedures for the Approval of
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position