relevant mutual fund management company shall take the following action: 7 (1) prepare a report on the incorrectness, containing the following information, and submit it to the mutual fund supervisor within
company to take any action or omit any action as the SEC Office deems appropriate within a specified period: (1) the management of a mutual fund has the characteristic or form in accordance with the rules
corrective action, including senior management and the board of directors, as appropriate. Questions Yes No 17.1 The company evaluates and communicates internal control deficiencies and monitors for correcting
as a requirement that the holders of a certain percentage of the debt securities have instructed the representative to take certain action. 1 “senior management” shall refer to the term of “executive
างในการออกพันธบัตร หุนกู หรือตั๋วเงินครั้งกอน 1.3 ใหเปดเผยขอมูลคําอธิบายและการวิเคราะหของฝายจัดการ (Management Discussion and Analysis: MD&A) สําหรับงบการเงินรายไตรมาสลาสุด และผลการดําเนินงาน
. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of
the offering in the prospectus and notified the Office of the said action. (3) if the management company wishes to appoint a selling agent to underwrite the units of the fund, the selling agent to be