fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex

document; (4) in cases where the results of a suitability test under Clause 30 show that the risky or complex capital market products under Clause 34 may not be suitable for a client and the client insists

shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration