management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
with power of management of a partnership or a limited company in which such person himself or any person or partnership or limited company as specified in Section 258(1), (2), (3), (4), (5) or (6) is a
) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
association related to securities business applying for establishment; (2) the most recent certification of registration of the founding securities companies issued by the Office of Partnership Registration
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446