Investment Units of Closed-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange Commission No. KorNor. 46/2541, Re: Rules, Conditions, and Procedures for
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the
and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended
(manager) ผู้ช่วยผู้สอบบัญชีอาวุโส (senior) ผู้ช่วยผู้สอบบัญชี (junior) ผู้เชี่ยวชาญด้าน........ ผู้เชี่ยวชาญด้าน........ รวม * สามารถปรับเปลี่ยนให้สอดคล้องกับโครงสร้างตำแหน่งงานของสำนักงานสอบบัญชีแต่ละแห่ง
(senior manager) ผู้จัดการ (manager) ผู้ช่วยผู้สอบบัญชีอาวุโส (senior) ผู้ช่วยผู้สอบบัญชี (junior) ผู้เชี่ยวชาญด้าน......................... ผู้เชี่ยวชาญด้าน......................... รวม * สามารถปรับเปลี่ยน
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
fund supervisor; “Mutual fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any