internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
Consolidated assets (THB) Consolidated income (THB) Consolidated net profit (loss) (THB) Separate assets (THB) Separate income (THB) Separate net profit (loss) (THB) Audit fee (THB) Other fees Auditor’s opinions
fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply
to amend the rules on office hours of securities companies.
be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information