on the register of persons qualified to be fund manager. In this regard, the management company shall appoint not more than one person from such register pursuant to the specific rules under Clause 7
responsible for the work of a department in the company; “Executive” means director, manager or any person with management power; “Training Institute” means Thailand Securities Institute and other training
Mr. Morakot Chaithongkum Mr. Morakot Chaithongkum operated securities businesses of investment advisory and private fund management by giving advice in the normal course of business to the public
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
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9