Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and
, Underwriting and Allocation of Newly Issued Securities; (b) in the part relating to underwriter means “ connected person ” in accordance with the Notification of the Securities and Exchange Commission concerning
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription
Sales results of the foreign CIS units that have been offered in Thailand: Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription