Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
(%) ……………………. ………………… ……………………. ……………………. ………………… ……………………. ……………………. ………………… ……………………. O no 5.2 Being an employee, officer, advisor with permanent salary or power of control of a company, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following
included. 4. Assets used in business undertaking 4.1 Describe the significant characteristics of the permanent core assets which the Company and the subsidiaries use for business undertaking with or without
recommendation of the Minister of Finance, the Permanent Secretary of the Ministry of Finance, the Permanent Secretary of the Ministry of Commerce and the Governor of the Bank of Thailand and at least four but not
none, identify as such and explain the reason why. 5. Assets used in business undertaking 5.1 Describe the significant characteristics of the permanent core assets which the Company and the subsidiaries
branch office and shall clearly place a notice board at such branch office for at least thirty days. Clause 12. Upon occurrence of the following incidents, the Office may order a temporary or permanent
management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with
on integrity risk and availability risk. Compliance Guideline 1. Computer Operation. · Providing a written procedure or compliance guideline for various importance permanent operation as a guideline