contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a contract or an agreement in
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and
management company may seek a general consent from the client or the provident fund committee in advance in the private fund management agreement. Clause 15 A management company may enter into a transaction
advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the
Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an agreement with the
conditions different from the provision of services by licensed securities business operators, and that the client’s consent is required prior to provision of such services; (4) make an agreement with the
public accountants, the following conditions shall also apply: (a) in cases where the audit firm has an auditor who has obtained or is going to obtain approval as auditor in the capital market work full