such assets received from or processed for the member can be clearly identified without any doubt; (4) report the custody of said assets to the relevant member within reasonable time. The derivatives
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult
, 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 with the
you are in any doubt, you should consult your local intermediary, local representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and
of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local
by the intermediary. Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets, the SEC Office shall settle such assets with the official
the future plan such as business growth rate in 3-5 years Page 4 of 32 (Unofficial Translation) 2. The executive should prescribe key policies in supervising the undertaking of fund management business