-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the date this Notification comes into effect, except for the case that the

effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

units and that the unitholders shall sustain the least possible impact upon the redemption of investment units of the open-end fund, the management company shall require such open-end fund to maintain its

which the possible effects on current period’s figures exist, where: ( 2.3.1 corresponding figures contain material misstatements but there is no effect on current period’s figures (paragraph

to the mutual fund management company only in the part that has no impact on the investors in Thailand, provided that the mutual fund management company is able to demonstrate that the request for such

be in effect from 1 December 2560 (2017) onwards. Notified this 31st day of October 2017. (Mr. Voravidh Champeeratana) Chairman Securities and Exchange Commission

understanding of the Company's nature of business, including the key factors that have an impact on business opportunities or constraints – for example, acquisition of business license, concession and investment

possible cumulative effect on the financial statements (paragraph number ........) With emphasis of matter paragraph on ( 4.3 Material misstatements arising from ( 4.3.1 Appropriateness of selected

significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and