. (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Remarks: The reason for promulgation of this Notification is to ensure the reliability and credibility of
. Thomas Frakes and company’s stamp Expected Benefits 1. Increased income from the expansion of distribution channels as well as improved service for existing customer base; and more credibility by switching
proceeding regarding capital market supervision or lacking of appropriateness in respect of trustworthiness as prescribed in Clause 24; (2) prohibited characteristic of Group 2 which is the case of being taken
the following factors: reliability of the mutual fund’s source of income, competitiveness and fluctuation of the business in which the fund invests, diversification of the fund’s investments
-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or
accuracy, up-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14
accountants. In considering the sufficiency and reliability of the audit quality control system under (1) of the first paragraph, the SEC Office shall present any facts and opinions obtained from the inspection
well as improved service for existing customer base; and more credibility by switching from a distributor to a manufacturer 2. Create opportunity to increase production capability to shorten lead time
office or which may affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be
expand its business by way of establishing a branch office or which may affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has