objective of investment, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related
, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
Business Development Advisory Service Agreement; (5) to appoint and assign any appropriate person to be a sub-attorney to act as mentioned above. Sincerely yours, Singha Estate Public Company Limited
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
Investment Units and Marketing Representatives of Private Funds (No. 2) dated 30 June 2005. Clause 2.34 A management company shall appoint a natural person or a juristic person as its representative pursuant
Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds (No. 2) dated 30 June 2005. Clause 2.34 A management company shall appoint a natural person or
date of such bonds. Clause 12 In order to appoint or assign any person to perform duties under Clause 4, an intermediary shall comply with the following rules, as the case may be: (1) for appointing or
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint