undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
ซึ่งอย่างน้อยต้องครอบคลุมถึง ( 7.1.1 นโยบายและภารกิจองค์กร (mission) ( 7.1.2 การกำหนดกลยุทธ์ทางการตลาด (1) แผนการตลาด (2) การกำหนดกลุ่มลูกค้าเป้าหมาย (3) ช่องทางการเข้าถึงกลุ่มลูกค้าเป้าหมาย ( 7.1 สำหรับ
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the