) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
# ............................................................ #$% ........................................................................ First name Last name .. #-#$%" (&) ....................................................................................................................... Former name (if any) .... 2.2
Office of the SEC regarding Approval of Auditors, from....(date)……. until ....(date)……, I hereby wish to inform the change of the audit firm to which I am attached, from …….…(name of the former audit firm
Former derivatives investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 5.5
. − − − 6 Former securities investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 4.5
person with the highest responsibility in the work unit related to capital market.3 − − − 9 Fund manager. − − − 10 Marketing officer regarding agricultural commodities. ✓ − ✓ 11 Former investment
, process for project evaluation and selection, management of proceeds, and reporting) of both the ASEAN Green Bond Standards (ASEAN GBS) and ASEAN Social Bond Standards (ASEAN SBS) with the former being
Former investment consultant on general products who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of Qualifications No. 5.3 − − − 9 Former
approved by the SEC Office, or any others under remark 1)2 8 Former investment planner who later obtained an approval as investment analyst or investment planner or investment consultant by virtue of
unit related to capital market.5 − − − 7 Fund manager. − − − 8 Former capital market investment analyst on fundamental factors who later obtained an approval as investment analyst or investment planner