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
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
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
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
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
2000 shall be repealed.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
person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those identified as a holding company or a nominee account, identify the
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