: ......................... Sub-district: ................. District: ...................... Province: .................. Telephone: ................................................... Facsimile
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
UNOFFICIAL TRANSLATION 2 Office of the Securities and Exchange Commission 333/3 Viphavadi-Rangsit Road, Chomphon Subdistrict Chatuchak District, Bangkok 10900 www.sec.co.th Tel: 0-2033-9999 Fax: 0
/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest
any person to subscribe or purchase the securities issued or offered for sale by the issuer or the seller. “company” 4 means any limited company, public limited company and shall include : (1) public
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
. The disclosure shall include at least the proportion contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. Such income information shall be
) commercial banks; (2) finance companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees