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
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
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the economy of its principal place of
Covered Management Company: ______________________________________________________________________ 9) Address of principal place of business: _______________________________________
commonly-accepted academic principal or the international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management company should observe the duty of care
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
.: _________________________ 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
shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position