securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person
Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order
of the investment strategy; (6) notify the client of the following information before executing trading oders of capital market products pursuant to the portfolio advisory : (a) estimate of asset
liabilities related to the period or payable amount. The company is able to estimate respectfully such liabilities value and being an encumbrance has an opportunity to cause a business loss economic interest
actual remunerations (for example, several appointments of new executives in the current year), give an estimate of the remunerations in the present year as well. In case of a holding company, specify the
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
prioritizing IT projects, for example, suitability with the corporate strategic plan, impact on business operations, or urgency for use; (2) preparation and approval of the budget for IT projects, which are in
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...