securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities

specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports

December 2001 shall be repealed. Clause 2. In this notification: “Investor contact person” means a natural person who has been approved to be an investor contact person under the Notification of the

___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for

Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units

SEC or the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 16. The securities company shall

the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 12. The securities company shall have

necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or securities business, or the

ทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\kornwara\My Documents\Apple\Notice\Holiday\holiday2_Notice_v3.doc

securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory