office shall operate within the scope that has been permitted and it does not need to provide every service as per its granted scope. Nevertheless, if the management company intends to expand the scope of
to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
ดูแลและติดตามสิทธิประโยชน์ต่างๆ ที่เกิดขึ้นจากทรัพย์สินของกองทรัสต์ รวมทั้งการไปใช้สิทธิออกเสียงแทนกองทรัสต์ (6) ระบบในการเข้าถึงข้อมูลและการรักษาความลับของกองทรัสต์ตามหลัก need to know basis ( 7.2
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
used in business operation 6. Future projects 7. Legal disputes 8. Other important information 2.3 Management and corporate governance 9. Information on securities and shareholders 10. Management