, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of
has been authorized, approved or registered as advisor under the Notification No. OrNor. 2/2545, securities investment analyst under the Notification No. SorKhor. 25/2547, marketing officer under the
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval