“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to

Section 97 of the Securities and Exchange Act B.E. 2535 (1992) , which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

) The Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 45/2545 Re: Determination of Fees for the Operation of Licensed Businesses (No. 2) dated 24 October 2002. Clause 2. In

information disclosure to investors. It is thus deemed appropriate that the notification relating to establishment and management of funds as specified in the Notification of the Securities and Exchange

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any

arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and

Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) and Section 96 of the Securities and Exchange Act B.E

Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business

June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as from 16 January 2005. Clause 2. In this