the appointment of an authorised person of Hong Kong Covered Management Company (issued by Hong Kong Covered Management Company) [ ] 6. Master fund’s prospectus and fact sheet/product highlight sheet
Section 317/5 of the SEA. Jakkaphong, as a person responsible for the operations of the legal entity, caused JKN to commit the aforementioned offense. He is therefore subject to the same penalty under
supervision would expand to cover additional entity types under the SEC regulations; (2) Define clear roles, responsibilities and involvement of the board of directors, including the governance body, to ensure
license to undertake derivatives business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake derivatives business and is under the supervision of an entity
undertake securities business in the category of brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of
Securities company Foreign Securities company Big lot (please specify the name(s) of parties executing the transaction with the reporting person (if known)) ( ) Direct sale/purchase (please specify the name(s
. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator ( issued
/nrs/4805pe.doc (Translation) ” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with