for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under

for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under

ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2

shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel

without a doubt. Clause 18 In taking the actions under Clause 16 and Clause 17, a derivatives clearing house shall examine and ensure that its staff strictly complies with the applicable notifications and

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk

Mr. Sorapoj Techakraisri Mr. Sorapoj Techakraisri, Chief Executive Officer responsible for the operation of Pace Development Corporation Public Company Limited ("PACE") failed to supervise