แนวทางในการกำกับดูแลการเสนอขายกรมธรรม์ Unit Link PAGE 2 หลักการ การกำกับดูแลการเสนอขายกรมธรรม์ Unit Link ในระยะที่ผ่านมามีบริษัทประกันชีวิตหลายแห่งประสงค์ที่จะออกกรมธรรม์ประกันชีวิตควบการ ลงทุน (Unit
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
strictly for reference. 2 Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an Intermediary _____________________________ By
2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value
ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board
director is also an independent director or member of the audit committee or any other committee. In addition, specify the number of the board's meetings and the attendance of each director during the past
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
the organizational management diagram, from the Board of Directors, subcommittees and the management to various departments including the work unit being the corporate governance mechanism, for example
Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By virtue of (1) The second paragraph of