such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client. They cannot make decisions on behalf of clients
institutional or ultra-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. *** Sareerat’s applications for obtaining SEC approval
be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the
laws and related rules in which the management company should be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the
) any other information specified by the Office as deemed necessary for protection of shareholders’ interest; (2) obtaining a shareholders’ resolution approving the issuance of underlying shares for the
application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after
) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance
this Notification shall be as follows: (1) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a
licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license