management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order

where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to

to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this

provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification

operation of service provider, in part that involves with the derivatives broker. Clause 12. In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance

later to the Office that derivatives broker violates or fails to perform in compliance with this notification or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the

ลงทุนของบริษัทจัดการกับกองทุนภายใต้การจัดการของบริษัทจัดการอย่างมีประสิทธิภาพ 4. มีการกำหนดหลักปฏิบัติในการรายงานการลงทุนให้ผู้บริหารของบริษัททราบ 5. มีการกำหนดให้มีการรายงานให้ compliance officer ทราบ

for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post

the branch office for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre

by the Office to ensure compliance with the law; (4) Pre-conditions or post-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of