application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC
in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
guidelines in accordance with the laws, rules and regulations in the environmental area related to business operation of the Company and subsidiaries, by reflecting how the Company is committed to mitigating
) should contain the subject matters prescribed in Clause 1, Chapter 2 of the additional practice guidelines relating to the information security policies and measures at a minimum; 4. The intermediary
://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
*....................................................….. (................................................……) แบบ EF–1 * หนังสือฉบับนี้ต้องลงนามโดยกรรมการผู้มีอำนาจกระทำการแทนนิติบุคคลเท่านั้น และให้ประทับตรานิติบุคคล (ถ้ามี) http://www.sec.or.th/secrgen/notice/off/practice/prac0147s1.doc
be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall