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as required by the SEC Office. Clause 4 The particular on the authority, duties and responsibilities of the management company shall contain at least the material information as follows: (1) provision
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
Establishment and Management of Thailand Future Fund, as the case may be. 5 Clause 8 Documents or evidence filed with the SEC Office as specified under this Notification, whether before or after approval, shall
Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office shall consider and make a decision relating to the
Clause 5 shall submit the application for approval to the Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office