Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
website. 2.2 Risk factors on business operation 2.2.1 Operational risk associated with the Company or the group of companies, both current risks and emerging risks in the next 3-5 years. Identify and
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
สภาพคล่อง ก. การคำนวณมูลค่าเงินลงทุน ให้บริษัทคำนวณมูลค่าเงินลงทุนโดยยึดหลักของราคาที่สะท้อน current value ดังต่อไปนี้ 1. Exchange-traded instruments หมายถึง หลักทรัพย์ดังต่อไปนี้ 1.1 หลักทรัพย์ ตราสาร
persistent threat (APT), the network segregation, the application-to-application encryption, defense-in-depth and the network hardening; (4) define a clear set of controls including access control, monitoring