being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as
or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is
dishonesty; (3) During the course of three years preceding the year when the application is filed up until the date of registration as a qualified fund supervisor, not have operational records indicating the
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept