be fund manager. Clause 10. In case where any person listed in the register of person qualified to be fund manager has been appointed by the management company to perform the duties of fund manager
regulator, which is accepted by the Office, to perform the duties similar to fund manager. (2) Specific Rules (a) Being a manager of the management company or holding any position from second to manager down
this notification. In case any application under paragraph one is an application for approval for securities investment analyst and the applicant is authorized by the securities company to perform
securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2
entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS
considered as disposal of listed company’s assets under Class 1 of the Notification on Acquisition or Disposal of Assets. The Subsidiary Company will perform the legal transaction of transferring the ownership