selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
who shall work full-time for the audit firm. As for the certified public accountants, the following conditions shall also apply: 5 (a) in cases where the audit firm has an auditor who has obtained or is
obtained, in which case such rejection or suspension may last no longer than one business day, except in cases where the SEC Office has granted an extension: (a) the securities or assets of the open-end fund
Patunam Khonkaen Company Limited Patunam Khonkaen Company Limited offer for sale newly issued securities in the category of bill without having obtained an approval from the SEC Office. charge is