licensed to undertake securities business in the category of mutual fund management; and (4) The securities companies licensed to undertake securities business in the category of private fund management
exemption by the Office. The provision under the first paragraph shall not apply to the executive of the securities company licensed to undertake securities business in the category of mutual fund management
category of mutual fund management for foreign investors or the exempted person under Section 103(7) or (8)(b) or (c) of the Securities and Exchange Act B.E. 2535 (1992). Clause 4. An executive of any
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities
company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and
Exchange of Thailand; (10) “ Office ” means the Office of the Securities and Exchange Commission; (11) “ units ” means investment units of mutual fund, certificate of pooling investment trust or other
investment units of mutual fund, certificate of pooling investment trust or other securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A
. (9/1) “SET” means the Stock Exchange of Thailand; (10) “Office” means the Office of the Securities and Exchange Commission; (11) “units” means investment units of mutual fund, certificate of pooling