management company shall comply with other notifications which specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the

responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and

definitions in notifications relating to issuance and offer for sale of securities; 2. a director and an employee of a securities issuer or its subsidiary company as approved by the board of directors or

14 mutatis mutandis . Clause 16. The provisions under Clause 11, Clause 12, and Clause 14 shall apply to a related securities company mutatis mutandis . Clause 17. All notifications of the Office of

. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of

___________________________________ By virtue of Section 81 of the Securities and Exchange Act B.E. 2535 (1992) , the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1) the

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

Company _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008), and Section 96 of the Securities and

November 2008. Clause 2 The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the

regulations: Clause 1 The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. KorThor. 37/2540 Re: Maintenance of Net Capital dated 15 October 1997 ; (2