Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
concerning the management of fund; (2) Management company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated (Translation) - 4
such person concerning the management of fund; (2) Management company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated
company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
benefit arising from such transaction would be for the benefit of the persons under (1) or (2) ultimately; (4) a person with a close relationship with an intermediary, either by contract, shareholding
contract, shareholding, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients
or a contract that offer returns from the asset underlying, which results in the fund being exposed to such asset. Part 1 Regulations on Mutual Fund Management and Private Fund Management