อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
approval of auditors, or an auditor approved by the Bank of Thailand for such accounting year. The finance and securities company shall submit a copy of letter of approval of the Bank of Thailand to the
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification