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securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of

; · Thai AMC should submit the application for establishment of mutual fund via the SEC’s Online Fund Approval and Management System (OFAM) together with all the necessary documents in support of the

support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are

be submitted to the Office. Preparation of the balance sheet and the profit and loss account for the first six months of the financial year in accordance with the first paragraph and the publication in

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

: This annual registration statement (Form 56-1) contains minimum information required to be disclosed by the issuing company (“Company”). Preparation and filing thereof should take into consideration the