authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the

case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short

shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities

easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is certified by a

of fund performance has been prepared in accordance with performance measurement standards set out by the Association. The statement shall be placed after the statement under (a) and on the same page

Capital of Person Granted a License to be Derivatives Broker _____________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the

company licensed to undertake securities businesses under the law on securities and exchange; (7) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing

fund supervisor; “Mutual fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund

authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the

Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the