offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
business in the category of securities brokerage, securities dealing, securities underwriting or mutual fund management, excluding the financial institution established under other law and licensed to
financial institution or a juristic person in a foreign country which has legitimacy to operate business in sale or acceptance of redemption of investment units under the law of such country and such
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
category of private fund management which is a financial institution established under other laws or also conducting other types of securities business. Clause 11 In engaging in proprietary trading through
licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company
_______________________________________________________________________ 12) Number of years the Hong Kong Covered Management Company has been responsible for the operation of financial asset CIS that are offered to the general public: _______________ Total assets under
Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company) Other bodies (Please provide details
for Establishment and Management of Property Funds for Solving Financial Institution Problems ; (2) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures for
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act