3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
intermediary ’s branch office; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty
ลงทุนของกองทุนใดๆ ก็เพื่อต้องการคาดหวังอัตราผลตอบแทนที่สูงที่สุดภายใต้ความเสี่ยงหนึ่งๆ (Optimization of Return) แหล่งที่นำเงินไปลงทุน กองทุนรวมที่ระดมเงินลงทุนในประเทศและลงในประเทศ (Local Fund หรือ
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC