securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the records of clients’ assets as prepared by the securities company. For the
Thailand as well as arrange of the shareholders’ meeting in order to request for an approval of such transaction. Comparison criteria of Value of Consideration Transaction Value = Total Value of
announcement of the acquisition or disposition and to arrange a Shareholders’ Meeting for approval of the transaction and must be approved by a vote of not less than three to four (3:4) of the total number of
shall arrange for a liquidation within thirty days, and shall complete the liquidation within one hundred and fifty days from the date of dissolution, except in case of necessity where the registrar may
dissolves under Section 25 (1), (2) or (3), the fund committee shall notify the registrar within seven days from the date of dissolution, and the fund committee shall arrange for a liquidation within thirty