documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing customers who Derivatives
arrange information or documentation regarding the controlling person in derivative trading of the customer as well as financial condition and debt repayment capability of the customer for every existing
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
(s) with the ultimate power of control of the tender offeror. In addition, it was found that disclosure of certain topics in the tender offer documentation was unclear.The SEC therefore ordered North
demonstrate that the applicant would have readiness of personnel responsible for business of trustee. Clause 4 An applicant shall submit an application together with the relevant evidentiary documentation to
, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, including not having such offense
accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the