prescribed in the Derivatives Act B.E. 2546 (2003) including the Notifications and circular notices issued or laid down the guideline of implementation to such Act. (3) not being under restriction or
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect the
Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008) whose certain provisions enclose some restrictions of rights and
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3