08/05/2006 16/05/2006 5. Notification of the Office of the Securities and Exchange Commission OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office
, and must organize a good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or
asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https
good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or securities-clearing (back
recovered back since the beginning of the second quarter. In addition, the company recognized the revenue from project work decreased by 28.56 million baht since most of the work was completed since last year
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The