appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
director” means any person who is appointed by the board of directors as an executive director or authorized to make decisions on the company’s operation on behalf of the board of directors; “Department
investment decisions for seeking benefits from derivatives for clients . “ member of fund investment committee ” means a member of a committee which is appointed or assigned by a fund management company to
derivatives businesses; “executive” means the person appointed or consented by the derivatives business operator to be or to act as a director, manager or person with power of management; “manager” means any
laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions
investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the
Republic of China and Thailand (HK-TH MRF) This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the SEC Thailand within 45 days after
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
appointed the following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel , it shall be