management process of mutual funds, the SEC encourages asset management companies to strengthen the efficiency of such process. This includes establishing a clear risk management policy and measures
have reviewed the criteria for licensing application and prevention of conflicts of interest, with involved parties engaging in the whole process. Results of the regulatory review will be completed in
penalties under Section 296 of the SEA. He agreed to enter the criminal fining process and paid a fine of 4,333,480.50 baht.In addition, the criminal fine has caused Assavin to have untrustworthy
before cancellation of the suspension thereof. While the revision and updating of client information under subclause (3) of the first paragraph is in process, the intermediary is allowed to provide
company’s procedure for asset acquisition and disposition BE 2547 dated October 29, 2004. Therefore the company has the obligation disclose information to the Stock Exchange of Thailand, and seek approval in
เป็น กลุ่ม plain และ complex และก่าหนดประเภท IC และ sales process ตามประเภท product ดังน้ี (1) plain product (2) complex product หุ้น, REIT, warrant, DW, infrastructure fund*, infrastructure trust
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
government agency and state enterprise under the law on budgetary procedure; (8) the Financial Institutions Development Fund; (9) a juristic person having total assets of five hundred million baht or more