Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the
……………………………………….to be authorized person to sign on every pages, any documents without the signature of ………………………………shall not be the documents verified by the company. Name Title Signature** 1. _____________
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
management in common with the issuer. Close members of an individual’s family are those that may be expected to influence, or be influenced by, that person in their dealings with the issuer. An associate is an
or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such person on a case
premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets belong to the client. 5 As added by the notification of the
approval shall be deemed terminated and the Office shall remove such person’s name from the register of person qualified to be fund manager. Clause 7. Any person to be approved to be listed in the register
witness or expert witness; (4) requesting any person to submit relevant documents in such person’s possession; (5) conducting an on-site inspection. The alleged person shall cooperate with the authority in
ended, the securities offeror shall immediately have such person affix his/her signature; however, if the cause of such person’s inability to affix signature is the inability to appreciate the nature of