securities companies, an officer of the Bank of Thailand or of the Office, except in cases where: (a) an appointment is made with the approval from the SEC for the purpose of assisting in the operation of a
exemption due to: O the appointment has been made with the approval of the SEC for the purpose of assisting in the operation of a securities company; O the appointment has been made under Section 145; O the
consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting
” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by
supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and Exchange Commission together with supporting
/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
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
Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008) shall submit an application form together with supporting documents and evidence in accordance with
consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system
past 3 years; 2. Audit Firm Profile and Details. I hereby certify that: 1. The information provided in the Form of Audit Firm Profile and Details and the supporting documents attached therewith is