identity of the client or the beneficial owner and controlling person of the company; (3) a foreign collective investment scheme (CIS) which is not registered with or authorized by its official regulator; (4
relating to derivatives business, such as risk management committee, investment committee, or operation supervision committee, etc. Clause 2. As regard the application and approval for appointment of an
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
company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
accordance with the rules prescribed in the fund’s articles. A fund may be established as a single fund or a pooled fund which may have one or multiple investment policies. Section 6. Upon agreement of the
: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
) First name (Mr./Mrs./Miss) ………………… Last name ………………… Former name (if any) ………………………………………………………… (2) Date/month/year of birth ……… Age ……..years / Nationality …………… Identity card ……………………………… No
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading