. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products

Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the

tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market

agreement recognized by the SEC Office; (c) having repayment period of the transaction not exceeding ninety days; (d) value of securities received from repurchase transaction as of the commencing date of

Settlement (BIS). (2) an audit firm, whose auditors are recognized by the SEC Office to be an auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission

following regulatory agencies which is located in a country whose supervisory measures on investment management are recognized by the SEC Office: (a) a regulatory agency which is a member of the International

structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

Office or the organizations recognized by the SEC Office, as specified in the tables of qualifications for each category of personnel as attached to this Notification. Clause 14 Personnel in the capital