company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
: ________________________________________ Page 4 of 7 Form 35 – foreign ETF 13) Address of principal place of business: _______________________________________________________________________
Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; 5 Amended by the
accurate, complete, truthful and updated manner; (2) establishing a code of conduct or rules for securities transfers, pledges, securities attachments, issuance of new securities certificates and other
prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place