substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to

well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

Section 81 Securities and Exchange Act B.E. 2535 Section  81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report

Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial

Exchange Commission: As I, …….….(name)………………, a certified public accountant No….…..., have been approved by the SEC Office to be an auditor of the business specified in Clause 3 of the Notification of the

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister