signed either by the CIS Operator of the NRI CIS or an authorised person of the CIS Operator of the NRI CIS. The person who signs shall state his/her full name and capacity, and shall ensure the
been fined for any offense under the laws governing securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her
securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her approval for acting as a mutual fund manager or a private fund
into a written contract with the customer who authorized it to perform as his/her agent in derivatives trading, such contract shall not have any statements denying the derivatives broker’s
customer who authorized it to perform as his/her agent in derivatives trading, such contract shall not have any statements denying the derivatives broker’s responsibilities to the customers from any act or
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
an authorised person of the CIS Operator of the ARFP Passport Fund. The person who signs shall state his/her full name and capacity, and shall ensure the declaration is dated.) (name of the CIS
an authorised person of the CIS Operator of the ARFP Passport Fund. The person who signs shall state his/her full name and capacity, and shall ensure the declaration is dated.)