’ ability in part of investment, debt repayment and pledging collateral, as well as clients’ ability to perform in respect of any servicing agreement shall be revised and updated at least every year. (2) in

regulations: Clause 1 This Notification shall come into force as from 1 January 2015, except the following Clauses: (1) Clause 12(4), which is related to arrangement of agreement between clients and derivatives

Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in

restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client and the duration of such disclosure 6.1

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

not such agreement is made under a written contract. “employee” means a person who agrees to work for the employer and receives wages, notwithstanding whether or not there is a written contract

subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates