) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking
, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4
derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4. In taking custody of customer
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
) “Department director” means any person who is responsible for the internal operation of a department in the company. Clause 2. A securities company may appoint or allow another securities company’s executive to
or registration as securities business operator by foreign regulator, providing that ETF operator shall also appoint a contact person in Thailand for the purpose of coordinating and facilitating the
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities