) information assets, i.e., information, electronic data, and computer data. 2 Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the
licensed to undertake securities business established under other laws, or the person with power of management of securities company possess any prohibited characteristics prescribed under Part 1, such
establishment] from the Securities and Exchange Commission. “ mutual fund management company ” means a securities company licensed to undertake securities business in category of mutual fund management. Chapter 2
company” means a securities company licensed to undertake securities business in category of mutual fund management. 6 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 6/2560
recognized guidance or international standard shall apply. The association of investment management companies in the first paragraph means an asociation related to securities business licensed to be
Notification of the Capital Market Supervisory Board concerning Investment of Funds; “management company” means a securities company that is licensed to undertake securities business in the category of mutual
jurisdiction in which Brookfield is not licensed to conduct business, and/or an offer, solicitation, purchase or sale would be unavailable or unlawful. Information herein contains, includes or is based upon
securities company licensed to operate the securities business of securities brokerage, securities dealing or underwriting which is not limited to certain types of securities; (3) a financial institution
requirements: (a) having been licensed to undertake securities business in the category of mutual fund management and having commenced such business operation; 10 Amended by the Notification of the Capital