. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and Section 135 of the Securities and
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
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arrange for the appointment of a custodian with an approval of the Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as
program for auditing difficult and complex areas, staff training limited to theoretical lectures and lack of case study on issues requiring professional judgement and professional skepticism, particularly
securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake
/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
conclusion, I wish to express my sincere appreciation to the SEC management and staff who have put in tremendous efforts over the years. I am confident that with everyone’s continued support and commitment
ประเทศ (Overseas Brokers & Dealers) ผูป้ระกอบธุรกิจเปิดบญัชี Custodian และ FCD กบั Custodian Bank และ/หรือกบัตวัแทนซ้ือขายใน ต่างประเทศ (Overseas Brokers & Dealers) กรณีท่ีตวัแทนซ้ือขาย ในต่างประเทศมี