document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD along with the distribution of securities
the sale of such certificate in accordance with rules and within the period prescribed for the reports of selling securities which is the underlying of such certificate, mutatis mutandis . In this
to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for
) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this regard, such system shall serve accurately and thoroughly, including verification
; (11) having efficient information technology system; (12) having system for arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this
ที่มีความมั่นคงปลอดภัย [ ข้อ 5.4 แนวปฏิบัติ 3 ทั้งหมด ] คณะทำงานกลุ่มย่อย AIMC ขอเป็น reasonable effort เนื่องจากระบบเก่า หรือระบบใหม่บางระบบ อาจไม่มี feature รองรับหลักเกณฑ์บางประการ สำนักงานได้ปรับ
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
100,000 (VAT exclusive) payable in the form of receipt of money transfer [ ] 8. Other supporting documents (please specify) _________________________________________________ Please print this checklist and
price compensation report by the business day following the date on which the unit price is found incorrect, and submit such reports to the fund supervisor by the business day following the date on which