· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated