ถูกต้องในแบบ 56-1 One Report ประจำปี 2565 ของ ALL มีหน้าที่กำกับดูแลให้ ALL เปิดเผยข้อมูลในแบบ 56-1 One Report ประจำปี 2565 ให้เป็นไปตามกฎหมาย แต่นายดุษฎีไม่สั่งการหรือไม่กระทำการอันเป็นหน้าที่ที่ต้อง
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification therein being that such
security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors
least one-quarter of the company’s directors are independent directors. In cases in which an independent director of the derivatives broker dies, resigns, or his or her approval by the SEC office is
application for change of information in Company Account to the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the