services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
คู่มือการแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) ผ่านระบบ ORAP 1. การเตรียมความพร้อมส าหรับการส่งแบบแจ้งการแต่งตั้งผู้ก ากับดูแลการปฏิบัติงาน (Head of Compliance) 1.1. จัดท า
Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the audit firm
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
accepting sale orders or clearing the outstanding positions of capital market products in the clients’ accounts only, unless the intermediary is prohibited from accepting the sale orders or clearing the
obligations or conditions in the following years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
trade of natural gas. In accepting the said right, the Company or its subsidiary shall purchase the entire shares of Hemaraj in Gulf WHA MT Natural Gas Distribution Co., Ltd. (“Gulf WHA MT”), a joint
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of