before making a decision to use the services and [ii] possible risks arising from using the services: (1) general information of the intermediary ; (2) characteristic, scope and condition of a service
) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this