business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment advisory service, ranging from the level of the

Translation (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot

(Translation) (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC

(Translation) (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake

understanding of general laws related to the profession. The qualification will be considered from the personnel’s: □ (a) First name, last name, and education; □ (b) Work experiences, given with specific

. Information of prohibited characteristics: 2.1 Up to present; (1) Is a person whose name is on the black list or the list of persons whom the Stock Exchange of Thailand considered not appropriated to be

commissions for fund from person who is a service provider due to engage the service from such person concerning management of fund, but shall comply with following rules: (1) Such soft commissions shall be the

21. Management company may obtain the soft commissions for fund from person who is a service provider due to engage the service from such person concerning management of fund, but shall comply with

Translation (Unofficial Translation) (Translation) -8- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC

Translation (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot