representative specifying the rights and the duties of the management company and the representative that are not contrary or opposed to the law on securities and exchange and relevant rules issued by virtue of
Clause 15 It shall be deemed to be conflicts of interest where the interest of the following persons are opposed: (1) the interest between a client and an intermediary or its related person; (2) the
_____________________________ Division 1 Types of Conflicts of Interest _____________________________ Clause 15 It shall be deemed to be conflicts of interest where the interest of the following persons is opposed: (1) the
Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in
Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange
against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name
Item 11]. 4. Management of the computer network systems and information transfer: - communications security [Referring to Item 9] - information transfer [Referring to Item 9.2] 5. Protection against
in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as
being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under