the person appointed or consented by the derivatives business operator to be or to act as a director, manager or person with power of management; “manager” means any person assigned by the board of

to undertake derivatives businesses; “executive” means the person appointed or consented by the derivatives business operator to be or to act as a director, manager or person with power of management

giving reasons that he/she was just appointed as the lawyer and was attached to the court. Thus he/she would like to reconcile with the plaintiff first before the pleading. The court postponed the

. Under the program, securities companies and their appointed agents must have in place internal mechanism for dispute settlement where clients can file their complaints for unsatisfactory services. If the

Company Limited. (Enclosure 3) Also that the Board of Directors, the Executive Committee or any person designated by the Board of Directors or the Executive Committee is authorized to determine the terms

fund management; “fund scheme” means a mutual fund investment scheme; “obligation” means the obligation between the unit holders and the management company; “selling agent” means a person who is assigned

Assigned weights (%) 1st inspection cycle 2nd inspection cycle 1 2 4 6 5 3 Ethical requirements Client acceptance and continuance Human resources Engagement performance Monitoring 20 20 20 In de pe nd en t

of Information and Periods ______________ Clause 7 mutual funds by management companies and trusts by trust managers who have been assigned by trustee shall have the obligations to prepare and disclose

), the issuer shall submit a supplemental report (81-1 Short-Form) to the SEC Office within a designated timeframe. This report must include the following information: - Major shareholders and their

Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients'