its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance

or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and

offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having

……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with

(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been