regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
(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...
following matters: 1.1 Vision, objectives, goals and operational strategies Provide as much information as deemed appropriate on the vision, objectives, goals and operational strategies of the Company or the
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
tests as such have achieved goals set by companies in aspect of either a time used or recoverable data and that relevant persons have complied with the plan completely and correctly. Also, the report of
business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision