details of the outsourcing clearly in the details of the mutual fund project, or obtain a written consent from a client who is a private fund or a provident fund, as the case may be; (2) arrange a report on
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
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
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or