prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage

etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information

to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice

each period of time. Remark : If the Company relies on any customer or supplier who has a significant influence on the survival of the Company, such information shall be disclosed as a risk factor. Any

Company’s name: …………………………………………. (Offering period: ...............................) Part 1 Executive summary Part 1 Executive Summary Summarize the financial position and the operating results during the

shall be disclosed with expected turnaround schedules during each period of time. Remark : Identification of the customers or suppliers who account for more than 30 percent of the total income over the

Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as