operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the

assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the

the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the

custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange

ใหม่เป็นราคาทุนตัดจำหน่าย (ตาม TFRS 9) ยอดเงินลงทุนที่วัดมูลค่าด้วยมูลค่ายุติธรรมผ่านกำไรหรือขาดทุน (ตาม TFRS 9) - เงินลงทุนที่วัดมูลค่าด้วยมูลค่ายุติธรรมผ่านกำไรหรือขาดทุน - Designated .......(เปิดเผย

securities and exchange or within the time period agreed upon by the parties to the trading of securities, as the case may be. In any sale of securities not designated as a short sale, but there is a necessity