compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree
สามารถเข้าถึงข้อมูลภายในของกองทุนที่ยังไม่ได้เปิดเผยเป็นการทั่วไป เจ้าหน้าที่ในหน่วยงาน compliance ผู้ตรวจสอบภายใน ผู้สอบบัญชี ที่ปรึกษาของกองทุน เป็นต้น 1.2.3 กลุ่ม access person อาจเป็นกรรมการ ผู้บริหาร
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be deemed that an intermediary has already complied with this
Broker. Clause 6 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirement under this Notification. In case of having complied with such guideline, it shall be