removal of the director of the company (d) Changes in the capital structure of the company e.g. increase and reduction of paid-up capital, offering of shares without pre-emptive right, debt restructuring
, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of
(3); (b) The licensee having a legal entity in the conglomerate being a securities company obtaining a securities business license type A where the said securities company has been granted a reduction
license type A where the said securities company has been granted a reduction in the securities business license fee in accordance with the Ministerial Regulation Concerning Granting of Approval for
ลดความเสี่ยง (reduction) การหลีกเลี่ยงความเสี่ยง (avoidance) หรือการร่วมรับความเสี่ยง (sharing) 8. องค์กรได้พิจารณาถึงโอกาสที่จะเกิดการทุจริต ในการประเมินความเสี่ยงที่จะบรรลุวัตถุประสงค์ขององค์กร คำถาม
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There