Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of ASEAN Collective Investment Scheme and APEC Asia Region Funds Passport
from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with
Telecommunication. On 2 May 2019, the Office of the National Broadcasting and Telecommunications Commission (“NBTC”) has released the order of criteria, procedures, and conditions for compensation as a result of the
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
apply DLT to various processes, from issuance and offering for sale in the primary and secondary markets to post-offering processes related to corporate bonds, SME shares, mutual funds and derivatives
by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.