company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the

statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients

scheme and prospectus or approved by the resolution from unitholders in case of Clause 15 or obtain an approval from mutual fund supervisor, or consent from clients or provident fund committee, as the case

shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients

private fund for which  it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality

investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the

or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the