be an derivatives intermediary in the category of derivatives investment management and shall obtain a prior consent from the client who assigns the function of derivatives investment management
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the
representatives of private funds; “Office” means the Office of the Securities and Exchange Commission. Clause 3. In appointing representatives under this Notification, if the management company appoints the persons
temporarily granted an exemption from the requirement of independent director from 1 January 2007 until the date on which the securities company appoints an independent director within the specified period
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
Paragraph 1 appoints another licensee to be a selling agent of investment units , the sale value of the licensee shall be deducted by the sale value of the sellling agent. Clause 9 A securities dealing
systems by users or independent testers. Clause 25 In the case that an intermediary appoints an outsourcee to engage in its information systems function, the intermediary shall comply with the following
case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such
Office. Such documentary evidence shall be stored for at least five years from the date of account closing or agreement termination. Clause 20 An agreement in which a retail client appoints a securities