ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

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

assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits

.: _________________________ 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

Covered Management Company: ______________________________________________________________________ 9) Address of principal place of business: _______________________________________

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

: ________________________________________ 12) Home Regulator of the CIS Operator: ________________________________________ 13) Address of principal place of business: _______________________________________

securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office

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