regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
permission for use of the information disclosed in this document for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database provided by the
of the investment committee. 3.2.2 Practices on Submission of Trading Orders (1) Prescription of criteria for selection of the brokerage company e.g. research market information, best dealing and
debts to the liquidator within reasonable time, and demand for repayments as deemed appropriate, taking into account the mutual fund’s best interest. The submission of the notices to the creditors and the
mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such information, the management company shall
companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
disclose the list of fund manager of each mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such
consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of