specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

:- (1) the client’s name is listed on the database in Clause 14(1) or (2), or the client’s nationality, residential address, source of fund, country of origin, contact address, or business address is in a

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification

apply to electricity generating business. (4) having units of the fund with an equal par value. In case of unit classification, the rules prescribed under Clause 11 shall apply; (5)6 having the policy to

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business

sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a

country fund หมวด 7 หลักเกณฑ์เพิ่มเติมของLTF หมวด 8 หลักเกณฑ์เพิ่มเติมของ ETF หมวด 9 บทเฉพาะกาล หมวด 1 บททั่วไป ส่วนที่ 1 หลักเกณฑ์ทั่วไป ส่วนที่ 2 Proxy Voting ส่วนที่ 3 การจัดทำและส่งรายงานต่อสำนักงาน