interest entities; and - Exercising that responsibility either directly or through independent oversight. Reference : เอกสารแนบ 1 2 https://www.ifiar.org/IFIAR/media/Documents/General/About%20Us/Charter

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1

, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification

Office. Clause 11. The custodian granted with an approval under this notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non

. Thailand Futures Exchange Public Co., Thailand Securities Depository Co., Ltd. Thai NVDR Co., Ltd. Subsidiaries CEO office Commercial Operation Support& oversight Development Fund Capital market education

of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary and take precedence over the IOSCO CRA Code. These laws and regulations may include

ผูถื้อหน่วย โดยมีประเด็น ส ำคญัจำกกำรรับฟังควำมคิดเห็น ดงัน้ี 4.1 การปรับปรุง governance ของกองทุนรวม (1) การก าหนดผู้ทีจ่ะมาท าหน้าทีต่รวจสอบดูแลการด าเนินงานของ บลจ. (oversight) ส ำนกังำนเสนอให ้บลจ

CRA Code to their satisfaction, and to react accordingly. In developing their own codes of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the