: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital

the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

entity(-ies)? Yes No If “Yes”, please specify the function(s) delegated (and sub-delegated): ________________________________________________________________________ 22) Does the delegation (and sub

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

value into a correct unit value by the day the fund supervisor has certified the information in the retrospective value correction report. (3) Announce name(s) of mutual fund(s) which makes a value

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

ระยะสั้น (4) ตั๋วเงิน ข้อ 7 การเสนอขายหุ้นกู้หรือตั๋วเงินในลักษณะดังต่อไปนี้ ให้ใช้แบบ 69-S ท้ายประกาศนี้ (1) การเสนอขายหุ้นกู้ระยะสั้นหรือตั๋วเงินต่อผู้ลงทุนสถาบันหรือผู้ลงทุนรายใหญ่ โดยมีข้อจำกัดการโอน

limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a

A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin