the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
currencies and gradually, retail investors will be permitted to invest in such products as well. This is to ensure that easing of investment regulations will truly be advantageous for investors, intermediaries
. Teetiphun Theppadungporn's directorship. Given such circumstances, the SEC views that an immediate arrangement of a shareholders? meeting to appoint new directors is imperative. The SEC has thus instructed
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Intermediary _____________________________ By virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement
5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case