เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license
operating standard specified by the association under Paragraph 2. Clause 5 A mutual fund management company shall prepare the financial statements of each mutual fund in compliance with the Accounting
benefits in compliance with the aforementioned provisions of the intermediaries, the SEC by virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification No. TorThor. 35/2556 , therefore, issues
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the
to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies