characteristics required for the executives under Section 103 of the Securities and Exchange Act B.E. 2535 (1992) and the Notifications issued thereunder and/or under Section 24 in connection with Section 23 of the

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

parties of the Audit Firm by specifying the names of the parties, the countries of business operations, the natures of business operations or services, and the description of relationship or connection, e.g

private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to

/suppliers, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already disclosed the names of such customers or suppliers to other persons such as

comply with the governing regulations, describe rectifying measures and compliance guidelines as well. 1.4 Relationship with major shareholders’ business In cases where the Company or the group of

notification of the Capital Market Supervisory Board, irrespective of whether such power arises from any agreement, understanding, relationship or else, and whether such power arises from the acquisition or

regulations2. 1.4 Relationship with the business group of major shareholders3 In the case where the Company or its group of companies is part of a conglomerate or a business group of a major shareholder, and by

person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a spouse or a minor child of such person

relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus