fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
) securities; (3) other assets; (4) any benefits accruing from the assets under (1) - (3), for example, right in dividend or interest or right to purchase newly issued shares and right to attend and to vote in a
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
met, or an approval is granted by the mutual fund supervisor or a consent from the client or the provident fund committee, as the case may be, is received for the case specified in Clause 16 or Clause
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
securities or assets in which the mutual fund invests, risks relating to the investment, types of investment units, procedures for purchase and sale of investment units, the relevant fees or expenses. This is