following qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
of the increase or decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
_______________________________________________________________________ Part D: Trustee/ Fund Supervisor 22) Name of Trustee/ Fund Supervisor: _______________________________________________________________________ Address of registered office
.: _________________________ Part G: Trustee/ Fund Supervisor Same as Custodian No [if “No”, please provide further information below] 23) Name of Trustee/ Fund Supervisor
Notification shall not apply to the mutual fund which the notification of the Capital Market Supervisory Board has specifically prescribed rules, conditions and procedures for liquidation of such mutual fund