providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF
persons, such information shall be credible sources and current, and shall identify such sources obviously; (7) in case it is the advertisement for a sale promotion , the main information in the
service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the
: Name/Position (at least CEO or equivalent): ____________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
Company’s contact person: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No
แพร่ไปแล้ว โดยคู่มือดังกล่าวส่วนหนึ่งกำหนดว่า ประธานกรรมการและผู้มีอำนาจสูงสุดของฝ่ายจัดการ (CEO in practice) ไม่ควรเป็น คนเดียวกัน สำนักงานจึงใคร่ขอความร่วมมือให้บริษัทหลักทรัพย์และตัวแทนซื้อขายสัญญาฯ