characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
information relating to ASEAN CIS, the Qualifying CIS Operator and its appointed distributors, representative, trustee and custodian. I/We hereby certify the following: 1. I/We am/are under supervision of Home
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
, please provide us the results and check whether there is any corrective action for negative result. E Assignment of Engagement Teams 1 Does the firm have policies and procedures to monitor the workload and
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
this Act. Such notifications shall come into force upon publication in the Government Gazette. 2 indicating amendments or additions by the Derivatives Act (No.2) B.E. 2551 5 CHAPTER 1 SUPERVISION OF
(if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or