เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
delegation shall be in compliance with the following rules: (1) The person delegated to proceed such management shall be a person who is licensed to provide the services of derivatives fund manager; and (2
Market Supervisory Board thereof, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8
objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In case where it is necessary to change the operation