selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for undertaking derivatives business
experience relating to buying or selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for
underwriter” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of department
thirty percent of the total outstanding shares of such person. In this regards, the person with power of management should refer to executive director, deputy manager, assistant manger, department director
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
of Securities 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
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private fund manager to manager in the case
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit