Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
) in case of using a sign or other symbol in rating mutual fund , such sign or symbol must not be contrary to the law or pubic order; (6) in the case where the investment advisory company intends to
respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. Clarification Statement of an Applicant for Approval of Private Fund Custodian Company/Bank ………………………………… 1. General Information: 1.1 Individual person (1
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the
appointed as a coordinator for information relating to the said director and executive. Name Title Signature* 1. 2. * Authorized signatory of the company shall sign this Form and affix the corporate seal
Company, the Company has authorized FULL NAME to sign on every page of the documents, and the absence of the authorized signature of ………FULL NAME………on any document shall be deemed that such unsigned
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company