(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
of the former mutual funds or the transferred mutual funds who vote to merge or amalgamate the funds and the unitholders who intend to convert the investment units of such funds into the investment
office as follows: 1. The applicant wishes to: Open a full branch office Open an online branch office Convert an online branch office into a full branch office 2. Address
Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
, as follows: (1) Plans which have been used in the test; (2) Testing result summary; (3) Plan revision summary. 8.6 Companies should follow up and assess the BCP of the main service providers, by which
information which has been registered, the management company shall immediately submit an application for the change and revision of such items in the registration so that the information thereof shall be up-to
Clause 37 of the Notification on Standard Conduct of Business , an intermediary shall at least comply with the following rules: (1) such revision and updatiing thereof shall be performed within the
public network is convert the information for prevent information form accessed by unauthorised person in transmission line whereas determine a password before transmit information is only a specification
held at least twice a month for revision and monitoring of performance , mechanism for regular measurement, monitoring and control of the risk from investment and system for recording and retaining the