specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country
imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means
. ………….………………… Issued by ............................................ Expiry date..………………………… Passport No. (for foreigner) ………………………….……………………… Country of issuance …………………. Expiry date …………………..…….. (3) Address as
Identity card No. ………………… Expiry date ..………………… O Passport No. ……………………………… Country of issuance ………………... Expiry date ………….. 2.5 Marital status O single O married O divorced Form as of 25 July 2006 2.6 Name
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister