Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of
exercise of such voting rights thereafter to the customer; (2) The private fund which is a provident fund shall comply with Clause 3 mutatis mutandis , and notify in the yearly report to the customer that
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases