debt securities or the units; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the company; (b) trade units listed on SET for
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trading and providing of derivatives services by the securities company issued by virtue of the Securities and Exchange Act B.E. 2535 (1992) and such derivatives broker possess qualifications specified in
derivatives broker possess qualifications specified in Clause 6, it shall be deemed that such derivatives broker is allowed to invest in derivatives contract for their proprietary account according to this
virtue of the Securities and Exchange Act B.E. 2535 (1992) and such derivatives broker possess qualifications specified in Clause 6, it shall be deemed that such derivatives broker is allowed to invest in
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
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
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may