providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any
-?assigning rates for instruments or businesses for the purpose of regional or international scale comparison or for those specified to be credit rated under SEC regulations. ?We expect to see more fund
Securities and Exchange Commission concerning rules, conditions and procedures for appointing and performing of duty of fund manager; (2) application for approval of personnel whose name is listed in the
sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a
representative for sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall
a private fund marketing representative and a representative for sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative
/ appointing date) 1. ผูจัดทํา / Reporter หุนสามัญ (Common share) หุนบุริมสิทธิ (Preferred share) ใบสําคัญแสดงสิทธิที่จะซื้อหุน (Warrant) หุนกูแปลงสภาพ (Convertible debenture) หุนสามัญ (Common share) หุ
’ representative appointment agreement. This initiative aims to facilitate and reduce costs associated with appointing a bondholders’ representative for bond issuers according to standardized procedures