-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
shall be deposited at least one hour before the closing time of normal trading session on the next business day from the date that derivatives was executed; (b) in case of clients other than sub clause (a
the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major
/ policy 1.2 Capital of the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
documents. The Office shall consider such application within forty-five days as from the next following date after the Office receives such application and related documents in full and with accuracy. Clause
Exchange Act, B.E. 2535". SECTION 2. This Act shall come into force after sixty days from the date of its publication in the Government Gazette, except Section 4, Section 7 to Section 16, Section 17 to
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately