and facsimile numbers of other references such as securities registrar, representative of debenture holder, auditor, legal advisor, advisor or manager under the management agreement. 6.2 Significant
as securities registrar, representative of bondholders, auditor, legal advisor, advisor or manager under the management agreement. 5.2 Other material facts 5.2.1 Specify other information that may
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
not such agreement is made under a written contract. “employee” means a person who agrees to work for the employer and receives wages, notwithstanding whether or not there is a written contract
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private fund manager to manager in the case
Office to participate in a regulator sandbox in accordance with this Notification. “ executive ” means a manager, deputy manager, assistant manager, departmental director or any equivalent position called
mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund management; “Fund manager” means any natural
company licensed to undertake securities businesses under the law on securities and exchange; (7) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing