case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person

and Exchange Act B.E. 2535 (1992) and Clause 5(1) in conjunction with Clause 7(1)(3) and (5), Clause 12(1) and (8), Clause 14 and Clause 25 of the Notification of the Capital Market Supervisory Board No

; “Office” means the Office of the Securities and Exchange Commission. Clause 3. The securities company shall prepare a financial statement in accordance with the format annexed to this Notification and shall

. Clause 4 In providing services to clients regarding investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the

/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the Notification on Standard of Business Operation , but also the

or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

กรณีที่มีการจัดการให้ได้มาซึ่งหลักทรัพย์หรือทรัพย์สินอื่นที่เป็นหลักทรัพย์หรือทรัพย์สินที่ออกใหม่ (primary market) เพื่อกองทุนรวมและเพื่อบริษัทจัดการ บริษัทจัดการต้องจัดสรรหลักทรัพย์หรือทรัพย์สินอื่นดัง

, such as, the Stock Exchange of Thailand, the financial institutions, the main service providers and the selling and redemption agents. 8.3 In order that relevant persons are able to comply with the BCP