include such compensation in any payment made on the first occasion to the unitholders. However, if such person is no longer a unitholder, the management company shall complete the price compensation within

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel : (a) work related to management, establishment, control and

, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or

) securities underwriting business; (5) mutual fund management business; (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the

complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management company in writing that the Office has received complete documents

regulatory sandbox : (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a