unitholders and the management company and the resolution of the unitholders. Clause 6 A management company shall establish a system for the administration and the management of a fund which covers at least the
and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
organization; (2) provincial administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting Permission to Management Companies to Establish a Branch Office dated 22 May 2007. Section 98(6) of
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also