the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may
complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
portfolio advisory or investment strategy of program trading , an intermediary shall proceed as follows: (1) prescribe the method and procedure for clients to select a portfolio advisory or investment
subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units
its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time
opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the
ของตัวชี้วัดของกองทุน (benchmark) สำหรับกรณีที่เป็นการคำนวณ โดยใช้วิธี relative VaR approach (ข) เกินกว่าร้อยละ 20 ของมูลค่าทรัพย์สินสุทธิของกองทุน สำหรับกรณีที่เป็น การคำนวณโดยใช้วิธี absolute VaR
the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6