5(1). 2. The policy on the allocation and management of information technology resources under Clause 5(2) should be in line with the corporate strategic plan in order to achieve the goals in
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
that have been or will be sold ; (2) to enable the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in
specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23 When an intermediary
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
(if any), as specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23