ability. In case of a retail client, the securities company shall arrange sufficient information or evidentiary documentation to perceive the client’s investment objective, knowledge, understanding and
ใด ๆ เน่ืองจำกผู้ลงทุน perceive ว่ำ กองทุนรวมตรำสำรหนี้เป็นกองทุนที่มี นโยบำยกำรลงทุนในทรัพย์สินที่มีลักษณะเป็นตรำสำรหนี้ หลักเกณฑ์จึง ก ำหนดให้กองทุนรวมตรำสำรหนี้ต้องลงทุนใน pure หนี้ ≥ 80% ของ NAV
Board 2/2018 on February 22, 2018 has been approved the financial statements for year ended 31 December 2017. The basis for Qualified Opinion cause the effects of adjustment, if any, did not observe the
, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as well as to approve the appointment, transfer and dismissal of the head of the internal audit unit or any other
SEC Office to participate and observe such meeting. Clause 9 In case a unit offeror has amended or added any additional information in a registration statement and draft prospectus submitted to the SEC
the BCP of the main service providers, by which companies may participate in the test, mutually observe or let the main service providers notify the BCP test to companies. Division 9 Examples of
consideration. - Review the internal control system to oversee that the internal audit procedures are adequate, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as