issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of

. Such report shall contain at least the following particulars: (1) Incorrect unit value; (2) Correct unit value; (3) Causes of the incorrect unit value; and (4) Preventive measures against the incorrect

such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

particulars: (1) Incorrect unit price; (2) Correct unit price; (3) Causes of incorrect unit price; and (4) Preventive measures against incorrect unit price, except where the incorrect unit price is caused by

) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 29/2549 Re: Acts That May Create Conflicts of Interest on Fund Management and Preventive Rules dated 19 July 2006; (2

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to

Company inspects, monitors and assesses the risks affecting the achievement of the vision, objectives, goals or strategy on the operation of the Company, and identify the preventive measures at an

making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a

operation with record of such error together with preventive measures 1.2 Operation system for fund member registry should comprise of three areas as follow: 1.2.1 Delivery of payment to the fund (a) As the

give investors an overview of the Company’s preventive measures against exploitation of inside information by directors and executives. 11.6 Auditor remunerations Specify the remunerations for the