be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

that are complete, clear and enforceable by law and sufficient for the fund to operate or to procure the benefit upon. (b) arrange for an appraisal on the infrastructure asset in accordance with the

collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and

cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or a commissioner is vacated prior to expiration of the term of office

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

collected from investors; (3) Merger or acquisition of mutual funds; (4) Acceptance of repayment by way of securities or other assets of the fund; (5) Actions to be taken in case where the liquidity of any

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

of a trustee or the place where the data of a trustee is collected or processed during the hours between sunrise and sunset or during the business hours of such places in order to examine the operating

to the expiration of the approval term. Hours of participation will be accumulated as follows: Training or Seminar Lecturer Full-time Lecturer or Guest Lecturer Minimum hours of participation in the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................