reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds dated 17 December 2015, the SEC Office hereby issues the following regulations: Clause 1 This Notification
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come
/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations
assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their
), as amended by the Securities and Exchange Act (No.5) B.E. 2559 (2016), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force
Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following