……………………………….…….………. 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
director, or chairman and manager are from the same family, or chairman is a member of the executive board or a taskforce, or is assigned to take charge of managing the Board of Directors, describe the
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
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
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material
2000 shall be repealed.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
strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By
during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past