records of clients’ assets from those responsible for physical keeping of such assets, and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither a person
กลาวคือ (1) กรณีเสนอขายตอ II&HNW ใหยืน่ filing ราย issue เปน free form (แบบ 69-S ซ่ึงมี ขอมูล ของ issuer ขั้นต่ําตามมาตรา 69 และ 70 และมีขอกําหนดสิทธิตามมาตรา 42) โดย filing จะมีผลใช บังคับ 1
issuer, state whether the issuer is directly or indirectly owned or controlled by another corporation(s), by any foreign government or by any other natural or legal person(s) severally or jointly, and, if
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and
person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and Exchange Commission hereby
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
business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately