, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard