; (2) In the case of Mr. Pattarawut Thunyajaroen, it was found that he had falsified documents for the redemption of investment units, forged deposit account passbooks by use of the IDs of other bank
stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction in which any related person
in which any related person purchases an investment units of the mutual fund under management of the mutual fund management company.” Clause 2. The provision in Clause 14 of the Notification of the
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Connected person
” means any person licensed to undertake derivatives business in the category of derivatives broker. (2) “client’s assets” means (a) assets which derivatives broker received or held as collateral for