. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and Section 135 of the Securities and
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
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/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
investors should understand, minimise and manage the conflicts of interest that they face and behave ethically, ensuring that they maintain focus on advancing beneficiary or client interests and disclosing
ประเทศ (Overseas Brokers & Dealers) ผูป้ระกอบธุรกิจเปิดบญัชี Custodian และ FCD กบั Custodian Bank และ/หรือกบัตวัแทนซ้ือขายใน ต่างประเทศ (Overseas Brokers & Dealers) กรณีท่ีตวัแทนซ้ือขาย ในต่างประเทศมี
กองทุนส ารอง เลี้ยงชีพ” ผู้ประกอบธุรกิจ PF ที่เป็น broker และ ประสงคท์ ำ self -custody ให้ถือว่ำ เปน็ custodian ที่ ได้รับควำมเห็นชอบ ตำมประกำศนี้ และ ให้แจ้งกำรเปน็ self-custody ตอ่ ส ำนักงำนภำยใน 7