Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

, the second paragraph of Section 92, the second paragraph of Section 100, Section 117 and the second paragraph of Section 133 of the Securities and Exchange Act B.E. 2535 (1992), the Securities and

2 3 … รวม 100 % ส่วนที่ 2 เอกสารประกอบคำขอจดแจ้ง1 (ผู้มีอำนาจลงนาม ลงนามกำกับเอกสารทุกหน้า) ( ) 1. สำเนาสัญญาก่อตั้งทรัสต์ ( ) 2. หนังสือรับรองจากทรัสตีที่รับรองว่าทรัสต์เพื่อกิจการเงินร่วมลงทุนมิได้

Redemption and Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4

Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551

supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

methods disclosed by the mutual fund management company under Clause 3(4) hereof. Chapter 2 Private Fund Management Clause 5. In cases where the private fund management company invests in or holds shares of