currency, the intermediary shall comply with the following rules: (1) To provide services within the scope of each type of license granted to the intermediary; (2) To arrange for clients to access the
________________________________________________________________________ 8) Is the ARFP Passport Fund offered to the general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date: ______________________________________ b) The investment objective/policy
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment
approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser Supervision
) Secretary-General Investment Adviser Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies
work is to provide services for other persons or for the benefit of the company itself; (4) “Executive director” means any person who is appointed by the board of directors as executive director or