; “Executives” means directors, managers, divisional manager or upper including any person who have authority as such person; “Property management person” means any juristic person which is entrusted by mutual
responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
ที่ออกโดยบริษัทที่ได้รับการจัดอันดับ ความน่าเชื่อถือในระดับที่ต่ำกว่า investment grade หรือไม่มี rating - โดยกรณีกองทุนรวมให้เปิดเผยสัดส่วน upper limit ที่ผู้จัดการกองทุนคาดว่าจะลงทุนใน กลุ่ม (ง) สำหรับ
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
they are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this
price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant purchasers by the amount
waiver is neither inconsistent with nor contrary to the rules relating to the protection of the investors in the host country where such mutual fund offers investment units for sale; Clause 11 In the case
are neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued under or prescribing guidelines for compliance with this
neither inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines in compliance with this Notification come into