mechanism for supervising relevant service providers has also been established to create trustworthiness and increased security. 4 Rules and Regulations Key Points 5. Securities and Exchange Act (No. 6) B.E
the following factors: reliability of the mutual fund’s source of income, competitiveness and fluctuation of the business in which the fund invests, diversification of the fund’s investments
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
emphasizes on the customers, preferring spending by cash, who live or stay around Thailand. With our efficiency system, reliability, 24 hours online services of boonterm kiosks around Thailand which can
international auditing standards, only in the case where such behavior may affect the reliability of the overall Thai capital market. 6 Amended by the Notification of the Office of the Securities and Exchange
delivery. In addition, the Company attempted to increase sales by engaging in the development of products with customers to create reliability for customers in dealing businesses with the Company. Return on
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or