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
, Auditor, Plan Preparer and Plan Administrator dated 16 July 2018 (“Notification No. Sor Jor. 38/2561”) carefully to ensure complete and accurate reporting on such changes. 1. การรายงานการเปลี่ยนแปลงการถือ
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
shareholders’ meeting resolution of the securities issuer; 3. a creditor of a securities issuer according to the rehabilitation plan approved by the court under the bankruptcy law or the debt restructuring
issuing company under business reorganization plan that approved by the court under law on bankruptcy or debt restructuring agreement; 4. shareholders of issuing company in accordance with previous
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that