operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also
. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
_______________________________________________________________________ Part D: Trustee/ Fund Supervisor 22) Name of Trustee/ Fund Supervisor: _______________________________________________________________________ Address of registered office
เทียบเท่า หรือเป็นหุน้ส่วนใน ส านกังานสอบบญัชีหรือเทียบเท่า ไม่จ าเป็นตอ้งเป็นหวัหนา้ ส านกังานสอบบญัชีหรือเทียบเท่า หรือเป็นหุน้ส่วนในส านกังาน สอบบญัชีหรือเทียบเท่า หากมี ต าแหน่งเป็นผูจ้ดัการ (manager
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver 2 the mutual fund’s accounts and related documents to the liquidator