indicates an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has
Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms
and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms “institutional
the Office of the Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically
Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies concerning the Connected Transaction, B.E. 2546 (2003) (as amended) specifies the duties of the company to prepare and
compliance with the internal control . 5.4 The board of directors and executives do not put excessive pressures on each personnel duties. Risk Assessment 6. The organization specifies the objectives with
mutual funds: (1) Mutual funds whose investment policy specifies investment in derivatives with the objective of hedging and the underlying asset or the variable of the 8 derivative is not one and the same
, unless the scheme specifies to comply with the Dispute Resolution and Enforcement Mechanism (“DREM”); (7) specifying to disclose material information at least being the same as the information disclosed to
intermediary only; (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until