director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent
) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role
entity or person who is able to influence the affairs of the audit firm or its affiliate or performance of any audit engagement? B.III Employment Relationships and Governance Role: 1 Employment
agreement showing that the company may invest in securities or assets for private fund management company in the same manner as the investment in securities or assets for private fund. Part 2 Affiliated
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a significant part of partner portfolio and/ or where client
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
the duties similar to fund manager. (2) Specific Rules (a) Being a manager of the management company or holding any position from second to manager down to department director whose role is responsible
พาณิชย์ กฎหมายว่าด้วยการประกันชีวิต หรือกฎหมาย ที่เกี่ยวกับธุรกิจทางการเงินในทำนองเดียวกัน ไม่ว่าจะเป็นกฎหมายไทยหรือกฎหมาย ต่างประเทศในความผิดเกี่ยวกับการกระทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์
of advice is solely a part of or an incidental to the conduct of business as a derivatives broker or a derivatives dealer, or any other persons who give advice in a manner as specified in the