the management of funds; or (b) being the position of director, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the

rules as specified in the notification of the association approved by the Office. In case any derivatives contract of which the calculation on method has not been determined by the association, the

statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of

of director, derivatives investment manager, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the line of work

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

, disposal or holding of securities or other assets; “management company” means mutual fund management company or private fund management company ; “mutual fund management company” means a securities company

company report transmission system” means electronic data transmission system determined by the Office for use of the securities company in submitting the report of the securities company to the Office

. Clause 5 Personnel in the capital market business performing functions under Clause 4(1) are persons holding the following positions, excluding the person under Clause 10: (1) director; (2) general manager

บทนำ 2 2 เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขเกณฑ์การอนุญาตเสนอขายหลักทรัพย์ เกี่ยวกับงบการเงินของผู้ขออนุญาตที่เป็นบริษัทประกอบธุรกิจหลักโดยการถือหุ้นในบริษัทอื่น (holding company) สำนักงาน

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in