; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
2023) Business Operator Personnel Director & Executive Member of fund investment committee Fund manager Investment Consultant /1 Other Professionals Auditor /2 Financial advisor Supervisor of financial
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
to comply with professional conducts and standards. Such regulates persons are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and Principal Valuers - Credit Rating
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor