Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to
management company as representative for soliciting of customers to enter into an agreement with the private fund management company; “Management Company” means a mutual fund management company, a private fund
assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the
deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3