” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

rules: (1) investment in the units of an open-end mutual fund may be made only for the purpose of managing liquidity of the fund due to redemption of a significant amount of the units of the fund

work for such persons to have full or partial managing power in the securities company.

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or

กรณีที่มีการจัดการให้ได้มาซึ่งหลักทรัพย์หรือทรัพย์สินอื่นที่เป็นหลักทรัพย์หรือทรัพย์สินที่ออกใหม่ (primary market) เพื่อกองทุนรวมและเพื่อบริษัทจัดการ บริษัทจัดการต้องจัดสรรหลักทรัพย์หรือทรัพย์สินอื่นดัง

and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing

service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for