where the parties agree to appoint a panel of three arbitrators, the parties shall select the arbitrators from the arbitrator list of the Office by the following methods; (1) the claimant shall select one
category of behaviors onto which a maximum period of consideration of the application for an approval to act as a mutual fund manager under Clause 12 hereof is up to one year, the Office may consider that
one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of
Securities and Exchange Commission No. SorThor/Nor. 19/2543 Re: Prescribing factors in considering the seriousness of behavior as a prohibited characteristics of persons who are or will be major shareholders
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which investment policy is standardized as specified in the notification of the
degree accredited by the Office of the Civil Service Commission and not less than one year of work experience; or 2. Lower than a bachelor’s degree and not less than three years of work experience; (2) An
Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
. ------------------------------- The Office of the 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