decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon enquired; (5

funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel

leak-detecting system. · In a case where level of floor or computer centre has lifted for the purpose of instalment the air conditioner system, including instalment electric system and network system

nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of

Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and