the Public (No.2) dated 7 September 1992. Clause 2 In this Notification and the forms attached to this Notifications: (1) (a) in case of reporting the results of selling securities which is not debt

the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

securities company shall have the following qualifications: (1) Having academic qualification and work experience in accordance with the following rules, except being granted an exemption by the Office: (a) In

” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the category of

arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and

main objective is to promote and develop securities businesses in the category of investment management; “Private fund manager” means a director or an employee of a securities company licensed to

of provident funds for customers. “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Mutual Fund Management Clause 3. In cases where the mutual fund management company

orders according to the first and second paragraphs in writing to any registered person, such registered person shall notify such proceedings or orders to the management company who appoints such

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3