Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes issued by a
of the company’s internal control and risk management systems, and disclose its opinion in the company’s annual report. Principle 6.3 The board should manage and monitor conflicts of
" electronic possession" OR "electrical ownership " OR "electrical control" OR " digital ownership " OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype https://secsearch.sec.or.th
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate