CIS Operator ) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person
, universality and completeness of the rules specified by the association. Clause 11. In case the derivatives fund manager will delegate the investment management of derivatives contracts to another person, such
may delegate the duty of disposal of the mutual fund’s assets according to (2) of the first paragraph to the management company. Where there is necessary and reasonable ground that the disposal cannot
company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function
delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or
personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
and facsimile numbers of other references such as securities registrar, representative of debenture holder, auditor, legal advisor, advisor or manager under the management agreement. 6.2 Significant
company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a