เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล           ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง

the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would

. Division 4 Powers of the SEC Office _____________________________ Clause 5 For the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications

) “ 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

policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and

comply with the governing regulations, describe rectifying measures and compliance guidelines as well. 1.4 Relationship with major shareholders’ business In cases where the Company or the group of

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited

have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group

from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case