been approved by and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes
by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by and registered with
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
Bangkok, November 2, 2011 - The Capital Market Supervisory Board approved revision on regulations on approval of personnel of capital market business operator in response to business practice and to
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles, duties and responsibilities
of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds