Company’s directors or executives; (2) defects of the Company’s internal control (if any), completion of amendment or incompletion and relevant clarification. 11.2 Describe the opinions of the Audit Committee
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in
Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
Item 11]. 4. Management of the computer network systems and information transfer: - communications security [Referring to Item 9] - information transfer [Referring to Item 9.2] 5. Protection against
management company shall not list the units sold to major investor on the exchange; 2. the management company or the registrar shall not register the unit transfer in 1. made to any person other than a major
, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ