same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law

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

Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for process according to the guideline to the SEC Office. The committee under the

characteristics in Group 3 under Clause 31, [ii] provide opinions to the SEC Office in any matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for

ลูกค้าและการมอบหมายงานด้านการจัดการลงทุนให้บุคคลอื่นของ บลจ. จะไม่กำหนดไว้ในประกาศ COI แต่จะมีการกำหนดไว้ในประกาศเกี่ยวกับระบบงานและประกาศเกี่ยวกับการมอบหมายงานแทน 2.2 guideline COI 2.2.1 กำหนดเพิ่มเติม

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of