procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
enclosed all relevant documents in support of this application, including the completed ASEAN CIS Application Form (as per Appendix II of the Handbook for CIS Operators of ASEAN CISs) which contains
) “ general liabilities ” means total liabilities deducted by qualified liabilities . (5) “ total liabilities ” means (a) all of liabilities shown in the financial statement but not include the following
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
the derivatives brokerage service under Paragraph 1, the derivatives broker shall provide all counterparties of derivatives contract being institutional investors . Clause 5 The provisions in Clause 21
knowledge and understanding of all type of financial instruments in which the fund may invest, the calculation of fair value, accounting and information disclosure. Each unit should also have its own
aggregate of more than 75% of all shares with voting right; (15) Foreign investors with the same characteristics as such investors under (1) to (14) mutatis mutandis ; (16) Juristic person as permitted, on a