control and compliance with good business practices; (3) being able to maintain capital funds and reserve fund in compliance with the law establishing or controlling business undertaking of the applicant
งานของบริษัท (compliance) 24 เมษายน 2566 [เอกสารแนบ 4] - ทรัพย์สินที่ใช้ในการประกอบธุรกิจและรายละเอียดเกี่ยวกับรายการประเมินราคาทรัพย์สิน 24 เมษายน 2566 [เอกสารแนบ 5] - นโยบายและแนวปฏิบัติการกำกับดูแล
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet
in Paragraph 1. In such case, the SEC Office may prescribe other requirements for compliance by the securities company. Clause 8 A securities company shall establish a compliance unit and an internal
for the benefit of compliance with the rules under this Notification. In case of having complied with such guideline, it shall be deemed that the trustee has already complied with this Notification
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
Funds of Management Company, measures on non-compliance, and additional rules governing the following matters: (1) the establishment of a fund and post-approval proceeding in Part 1; (2) the provisions on