damage to the trust, shall jointly with the trustee under Section 44 be liable as joint debtors. A beneficiary shall be entitled to claim compensation from such person for the benefit of the trust. The
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person
join an audit client: (a) if a partner – has the firm ceased significant connections between it and this individual; (b) has work done by the person leaving been reviewed by a more senior audit
: .............................................................Juristic Person Registration No............................... head office located at
(Joint Policy Statement) ในการกำกับกลุ่มธุรกิจทางการเงินที่มีการประกอบธุรกิจจัดการลงทุน ด้วยปัจจุบันธนาคารพาณิชย์ (“ธพ.”) มักมีการดำเนินธุรกิจในลักษณะกลุ่มธุรกิจทางการเงิน (financial