Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc
Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined objective, being broadly based, having index components that qualify as
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in