No. 5 B.E. 2539 (1996) promulgated under the Securities and Exchange Act B.E. 2535 (1992) who obtains an exemption of fee for undertaking business according to the Notification of the Securities and
. 2535 (1992) who obtains an exemption of fee for undertaking business according to the Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the
category A or B, as the case may be, who obtains an approval from the Office as prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the
securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact category A or B, as the case may be, who obtains an approval from the Office as
investment, such securities company shall arrange to have the investor contact category A or B, as the case may be, who obtains an approval from the Office as prescribed by the notification of the Office. The
of Assets. After the Company obtains approval from the meeting of the Board of Directors’ Meeting No. 5/2019, held on 5 April 2019, the Company is required to Enclosure Page 9 immediately disclose the
of Assets. After the Company obtains approval from the meeting of the Board of Directors’ Meeting No. 5/2019, held on 5 April 2019, the Company is required to immediately disclose the information
at least the following important information: (1) the date on which the mutual fund obtains approval of the SEC Office for the increase of its registered capital; (2) the mutual fund’s investments and
No 12.7 The company regularly reviews its policy and procedures. Information & Communications 13. The organization obtains or generates and uses relevant and quality information to support the