statements for such accounting period upon dissolution date of the mutual fund on that one occasion for a period of longer than twelve months but no longer than fifteen months. Clause 6 In managing a fund, the
on such previous occasion, as grounds for any subsequent disapproval. Clause 15. In cases where any management company has a mutual fund manager who possesses any prohibited characteristics as per
on such previous occasion, as grounds for any subsequent disapproval. (Translation) - 8 - Clause 15. In cases where any management company has a mutual fund manager who possesses any prohibited
at the earliest occasion. In such case, the recipient shall be deemed to have been notified on the date and time appeared in the record of facsimile transmission, electronic mail or any other means
guard against rising risk trends in line with market volatility, and to ensure that they are appropriate for changes in regulatory requirements, including domestic and global economic policies. Relevant
and reviewed regularly to guard against rising risk trends in line with market volatility, as well as appropriate for changes in regulatory requirements, business undertakings including domestic and
management. Risk management policies, tools and processes have been developed and are reviewed regularly to guard against rising risk trends in line with market volatility, changes in regulatory requirements
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its client. Nevertheless, the amendment process should take less than 30 days as of the