appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as
Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
allocated assets prior to others. These customers must not be individuals with a relationship to the derivatives broker in such manners as director, executive, major shareholder and controlling person of
Business Operation in the part relating to management of fund investment, mutatis mutandis. Clause 16 9 A trustee shall govern, control and monitor REIT manager or any other assigned person (if any) to
Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund” means any mutual fund which has specified
Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including
credit for securities business under the law on Securities and Exchange; (4)1 a juristic person established under foreign law, which is a derivatives business operator in the category of derivatives dealer