the home regulator. (2) having a local representative, being a [Thai] securities company with a license to operate securities business or a representative office in Thailand according to Section 93 [of
principle amount/ par value per unit/offering price per unit etc. Credit Rating………………………………………………………………….. Financial Adviser……………………………..……………………….…….. Underwriter……………………….…………………………..……….……… Representative
managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment
the following documents relating to its fund managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers
provisions governing the rights and obligations of the issuer and holder of structured notes. “bondholders’ representative” means a bond holder’s representative whose name appears on the list of the persons
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each position. Handbook or operating guideline for staff must be prepared and up-to- date. 3. The personnel
Agreement as at June 30, 2017 227.44 The Company has taken the following legal actions. On October 17, 2016, the Legal Department sent out a letter of payment request to MAT and the representative of MAT
, as well as the opening of the representative office in Shanghai in last September, to provide more online sales channels. In addition, the Company also recognized the costs of new packages for use with