professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such information, the management company shall
any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be
is material change in the records, the securities company shall repeat the process mentioned in Clause 9(1) and (2) as deemed necessary and shall re-classify the client’s risk accordingly (re
information, the management company shall also update the list on its website within fourteen days from the date of change. Chapter 3 Person Listed in the Register of Person Qualified to be Fund Manager
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
company shall notify the Office within fourteen days from the date of the change of such information. In the case where the Office considers that such change of information results in non-compliance with
name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these