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
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
hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s
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
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
. 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
secured debentures, the applicant shall also: (1) submit a draft of terms and conditions stating the rights and duties of the debenture issuer and the debenture holders; (2) submit a draft agreement
management company as representative for soliciting of customers to enter into an agreement with the private fund management company; “Management Company” means a mutual fund management company, a private fund
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors