, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any person responsible for managerment of
unit trust. In this regard, either investment company or unit trust shall have objective to invest in securities or financial instruments. “CIS operator” means any person responsible for managerment of
authorized controllers; or (5) other 3 companies having such persons per (1), (2) or (3) as major shareholders or authorized controllers. Therefore, the Seller is not a connected person of the Company under
natural person who ultimately owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately
, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately owns the account, or has significant interests
person, name of the entity, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all
B.E. 2535 (1992), which contains certain provisions that restrict the rights and liberty of a person, which is provided for by virtue of legal provisions, according to Section 29, in combination with
) Category I: Prohibited Characteristics: 1. being a person put under receivership, or being bankrupt, incompetent, or quasi-incompetent by a court’s order; 2. being a person under prohibition by the Stock