management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and shall arrange following up and compliance with the said policies and plans
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However
personnel in such units. However, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation
for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting rights according to the
warnings and recommendation for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting
; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds
Underwriting of Investment Units dated 3 August 2009; (3) Clause 13 of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions, and Procedures for Securities Brokerage and Securities
Funds dated 20 July 2009; (2) Clause 4(1) of the Capital Market Supervisory Board No. TorKhor. 55/2552 Re: Rules, Conditions, and Procedures for Brokerage, Dealing, and Underwriting of Investment Units