otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office

include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office under this

notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of

Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after

in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures

incomes of Baht 11.47 million. It decreased by Baht 135.65 million, compared with the same period of the year 2016. This was mainly due to the termination of the satellite television co-production agreement

included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and

date agreed upon with the member (2) Increase or Reduction of Unit for the Member (a) There should be a clear agreement between a management company and the fund committee on the trade date of each fund

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee