/Documents/ActandRoyalEnactment/Act/act-derivatives2003-amended.pdf freshfield representative within the period prescribed by the Office of the SEC; (2) any person who is in possession of property or documents
Member (8) Mrs. Vipa Sae-Ngow Member (9) Representative from the Office of the National Economic and Social
unit, while risk- adjusted performance measurement has been applied with each business unit. KBank’s risk, capital and liquidity management is under the supervision of the Board of Directors, which is
_________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an agreement on the appointment of representative in writing. Clause
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of
where the home regulator is established; (4) a letter appointing a brokerage firm to perform duty as a representative responsible for the trading of units of ASEAN Collective Investment Scheme in Thailand
bondholders’ representative with the following characteristics: (1) be listed as a qualified person to serve as a bondholders’ representative in accordance with the Notification of the Capital Market
and facsimile numbers of other references such as securities registrar, representative of debenture holder, auditor, legal advisor, advisor or manager under the management agreement. 6.2 Significant
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be