Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
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
depreciation) ตลอดอายกุารลงทุน - ก าหนดให้เปิดเผยอตัราผลตอบแทนภายในจากการลงทุน3 (“Internal Rate of Return” หรือ “IRR”) ไวใ้นหนงัสือช้ีชวน (กรณีเสนอขายคร้ังแรก หรือเพิ่มทุน) และในรายงานประจ าปี (กรณีกองท่ีจด
plan or operation was not approved by the regulator of such financial institution or the Committee of the Financial Sector Restructuring Authority, or subject to an order to amend the financial loss
related to selling, repurchasing and redeeming units of foreign collective investment scheme under this Notification, the SEC Office may order the securities company to amend, act or omit to act in any way
and surveillance of AEC's core work systems and failed to amend and rectify even though they had been informed of the company's inspection results and reports from the back office regarding clients
executive officer in charge of front office, had generally neglected supervision and surveillance of AEC?s core work systems and failed to amend and rectify even though they had been informed of the company?s
Date), as well as the Board of Directors, and/or the President, and/or any person appointed by the Board of Directors and/or the President, who shall be authorised to amend or change the date to record