giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand

Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade

whom the Stock Exchange of Thailand is of the opinion that are not appropriate to be executives under the regulations of the Stock Exchange of Thailand: O yes O no 6.13 pending under accusation or

person will be involved in the management and administration of the fund. In the case where such person is a company whose shares are listed on the Stock Exchange, only the characteristics under (1)(a

performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However

approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum

precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives business in the category of derivatives broker limited to precious

: The Rationale for issuing this Notification is to permit precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives

administration) ออกจากกัน และต้องจัดให้มีระบบการสอบยันการปฏิบัติงานระหว่าง บุคลากรในหน่วยงานดังกล่าว โดยอย่างน้อยต้องไม่มอบหมายให้บุคลากรคนหนึ่งคนใดรับผิดชอบ การปฏิบัติงานตลอดกระบวนการในลักษณะที่อาจเป็นช่องทางให้

academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any