used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes

complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is

equivalent to the difference between the incorrect and the correct unit price. If the relevant purchasers have no such investment units left or have less investment units than the amount to be reduced, the

, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity, including his ultimate beneficial owners

from the board of directors’resolution; (3) Describe the policy and tendency for future connected transactions including the fulfillment of the obligations specified in the prospectus; (4) Provide

ทำธุรกรรม reduced KYC/CDD โดย identify & verify ตามแนวทางที่สมาคมกำหนด ลูกค้าที่ต้องให้ความสนใจเป็นพิเศษ ลูกค้าปกติทั่วไปยงกลาง เสี่ยงต่ำกว่าปกติ enhanced KYC/CDD โดย identify & verify ตามแนวทางที่

Sor-1, if the applicant has obtained derivatives business license in the category of derivatives broker limited to gold derivatives, the license fee paid by the applicant shall be reduced in the amount

in the category of derivatives brokerage limited to precious metal derivatives, the license fee paid by the applicant shall be reduced in the amount equal to the amount of the license fee already paid