Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
an auditor who affixes signature in giving opinions on auditing for at least three years during a five-year period before the filing date of the application for approval with the SEC Office unless
information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work
personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
worth of at least THB 10 million; (2) persons under (1) who have acquired additional Units which, when combined with the units already held by them, are worth of at least THB 10 million. The determination
) of Clause 3; (5) The opinion of the board of directors at least on the following matters: (a) The reasons and necessity for capital increase of the company; (b) The reasons for issuing and offering
category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its
Clause 30 of the Notification on Standard Conduct of Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain
Notification on Standard Conduct of Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with