approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund
written from the clients or provident fund committee, as the case may be, such consent may specify in private fund agreement. Provided that, private fund management company shall explain about conflict of
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the
client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
operator in the same manner not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related