several relief measures being rolled out by the government. Since the beginning of the outbreak, the Company has committed to support and operate in compliance with the government’s measures and orders
have been arranged in compliance with the requirements in the commitment or the law; (3) provision that the management company can refuse to display any name in the register of unitholders in the case
has other measures which are adequate and sufficient to compensate for the compliance with the regulations or conditions to be exempted. The granting of exemptions under the first paragraph shall take
Information on registered capital/paid-up capital of asset management companies Information on unitholders (MPF7000) Unitholders Public task basis Information on consideration of complaints and compliance with
/Public task basis Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under the jurisdiction of the SEC Office in compliance with the law. Every work areas
issued under or providing guidelines for compliance with the Notification of the Office of the Securities and Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of
the Office under this Notification. Clause 16. All orders and circular letters issued under or providing guidelines for compliance with the Notification of the Office of the Securities and Exchange
งานกำกับดูแลการปฏิบัติงาน(compliance unit) จัดทำและดูแลบัญชีรายชื่อหลักทรัพย์ซึ่งหน่วยงานกำกับดูแลการปฏิบัติงานต้องติดตามการทำธุรกรรมที่เกี่ยวข้องกับหลักทรัพย์ในบัญชีดังกล่าว (watch
ดูแลการปฏิบัติงาน (Compliance Unit) บริษัทหลักทรัพย์จะต้องกำหนดให้หน่วยงานกำกับดูแลการปฏิบัติงาน (compliance unit)ติดตามตรวจสอบการปฏิบัติงานของผู้ติดต่อกับผู้ลงทุนเป็นประจำ