Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
. ----------------------------- 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
investment decisions for seeking benefits from derivatives for clients . “ member of fund investment committee ” means a member of a committee which is appointed or assigned by a fund management company to
payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private
derivatives investment management company to make investment decisions for seeking benefits from derivatives for clients ; “ member of fund investment committee ” means a member of a committee which is
from acting within the prescribed period of time, in cases where its director, manager, officer, employee, agent or delegate acts or causes the trustee to act as follows: (1) fail to perform the duty of
ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients
. Clause 8. A securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a