Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
information relating to its fund managers in the forms and procedures provided in the Office’s electronic work system: (1) report on appointment of fund managers which shall be submitted not less than fourteen
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment
with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or