perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall

providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider

shareholding of the same group: (a) Top 10 highest shareholders; (b) The majority shareholders whose behaviors materially influence management policy-making or the Company's operation (for example, assigning a

shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable

policy-making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those

under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or assigning a person to hold the positions under Clause 5, such person shall meet the

business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any

Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other

Conditions in Outsourcing Operational Function ______________________________ Clause 20 An intermediary shall arrange to have a written contract assigning a third party to be the service provider for function

more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b