, there should be a plan to offer to the institutional investors in accordance with the notifications of the Office. 3. Establishment/Management of Fund Mutual Funds - The detail of the mutual fund scheme
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
พัฒนา และรักษาผู้บริหารและพนักงานทุกคน เช่น การจัดระบบที่ปรึกษา (mentoring) และการฝึกอบรม 4.5 บริษัทมีแผนและกระบวนการสรรหาผู้สืบทอดตำแหน่ง (succession plan) ที่สำคัญ 5. องค์กรกำหนดให้บุคลากรมีหน้าที่และ
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
person bound to make repayment under a financial instrument as an issuer, drawer, acceptor, giver of aval, endorser, or guarantor, as the case may be. “ unit of collective investment scheme ” mean a unit
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
representative office abroad .................................................................................................................................................... 3.2 Having a work plan for