) Limited company or public limited company of which the fund supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
case the applicant is the Manager of the management company or any person holding equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
management company or being a director of the management company who does not hold any other positions in such management company except where such positions are under the vertical line of command or do not
, research on securities or capital market or other similar lines of work regardless whether such line of work would operate for providing services for other persons or for the management company itself. (c.4
adequate information in line with standards of services of the management company , and [ii] supervise the representative to act as follows: (1) comply with the provisions in the agreement and the rules