UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
the officer using for examining the correct and completion and providing an inspection of such log book consistently. [A] 1.2 Examination · Providing a test once a year for assure that information and
the officer using for examining the correct and completion and providing an inspection of such log book consistently. [A] 1.2 Examination o Providing a test once a year for assure that information and
by account officers. This is particularly important because over 70 percent of the equity trading volume is generated by individual local players. Individuals are naturally very sensitive to news
Member, Federation of Accounting Professions of Thailand under the Royal Patronage of His Majesty the King • Chairman, Tax Auditor Examination Committee, Revenue Department • Specialist in Corporate
efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
checkups through a risk assessment test and target determination; (2) determining an investment plan according to acceptable risks and targets determined; (3) making investment according to an investment
World Bank Group ranked Thailand 21st among the 190 participating economies worldwide on the overall assessment. Protecting Minority Investors The SEC office has involved and supported in the
World Bank Group ranked Thailand 21st among the 190 participating economies worldwide on the overall assessment. Protecting Minority Investors The SEC office has involved and supported in the
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases