No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

. เจริญโภคภัณฑ์อาหารสัตว์ (CPF) บล. เมอร์ริลลินซ์ภัทร 57,500,000 95.83% (ทำให้ถือ 100%) 50,390,051 83.98 SWAP หุ้นในอัตรา 22 หุ้น CPF ต่อ 54 หุ้น BKP (22 บาท) รัชมาลย์ 83 บมจ. กรุงเทพผลิตผลอุตสาหกรรม

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

of clients. Chapter 7 Acceptance of Trading Orders of Capital Market Products Outside Intermediary’s Office ____________________ Clause 36 In this Chapter: “ stock exchange ” means the Stock Exchange