court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been
the Securities and Exchange Commission as qualified to be appointed as fund manager; “Person with Power of Management” means managing director, deputy-manager, assistant manager, department director
……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of
. Section 14. 2 In managing the fund, the fund manager shall have the duties in accordance with, and be subject to, the provisions regarding the private fund management under the law governing securities and
Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the
. Clause 9. In managing a mutual fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional
managing the online branch office. Such person may be an officer from the head office or a manager from a full-service branch office. Clause 9. The securities company shall submit the details of the
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
notification of the SEC. “derivatives fund manager” means any person who, in the ordinary course of business, engages in the business of managing funds for others, or holds himself out to the general public as