to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund

under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a person who is personnel in the capital market business and holds the

prohibited characteristics; (3) in case of prohibited characteristics in Group 3 under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a

Exchange Commission No. KorNor. 69/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and

private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual

arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of

to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange