frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a
, provided that such person does not have any of the prohibited characteristics as prescribed in Section 23. In cases where it is subsequently found that the person acting as a director, manager, or holding a
and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
73 The SEC Office shall gather the facts relating to the commission of an offence which falls under the administrative sanctions and shall also have the power to exercise an initial consideration in
necessity prior to the end of the 30 day period, the Office may extend the consideration period as necessary. Clause 6. In cases where it is found out later that shareholding structure of the financial
Warranty The company has reviewed the information stated in this Information with Representation and Warranty of Company’s Director and Executive and found no reasonable ground to believe that information
Derivatives Act B.E. 2546 (2003) and the Notifications issued thereunder. Form as of 25 July 2006 O the company found that the following persons have certain prohibited characteristics, however, the company