with power of management of a partnership or a limited company in which such person himself or any person or partnership or limited company as specified in Section 258(1), (2), (3), (4), (5) or (6) is a

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

association related to securities business applying for establishment; (2) the most recent certification of registration of the founding securities companies issued by the Office of Partnership Registration

company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and

mutual funds under its management; (3) the fee for selling and accepting redemption of investment units shall be at the rate of 1 percent, calculated from the fee income that the licensee collects from

have the power to act in his own name for the benefit of all debenture holders in accepting a mortgage, pledge or other collateral, exercising rights to enforce collateral and causing the issuer of

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

position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate

: ………………………………………....................... (3) Current position in the affiliated audit firm ( Partnership ( Other position (please specify):………………… (4) Signature affixed in the audit report of the audit firm's clients since ....(YEAR)…… (5