is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
, post-approval and ongoing compliance in the context of the offering, marketing and distribution of units/shares of the Hong Kong Covered Fund to the public in Thailand; (f) the Hong Kong Covered Entity
governing the authorisation, post-authorisation and ongoing compliance in the context of the offering, marketing and distribution of units of the Thai Covered Fund to the public in Hong Kong; (f) the Thai
popularity among private sector as tools to raise fund from investors directly whereas the issuers must comply with certain qualification, such as having financial statements prepared in conformity to
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
Measurement and Management Framework in Business and Investment Strategies” with an aim to move forward the Thai capital market’s sustainable development and promote the private sector’s compliance with the UN
necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be applicable, mutatis mutandis. The operating plan of
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this