. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
a sub-agent unless the mutual funds under such registered person’s supervision invest in foreign securities or assets and such sub-agent is a legal custodian in such foreign countries. Clause 7. A
-agent unless the mutual funds under such registered person’s supervision invest in foreign securities or assets and such sub-agent is a legal custodian in such foreign countries. Clause 7. A registered
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory