, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
Directors’ policy framework in this matter shall also be disclosed to reflect the Board’s determination to mitigate the negative impacts on the environment or the management of the greenhouse gas emission. If
for the shareholders, and that of the subsidiaries for the Company. 8. Management structure 8.1 Board of directors Identify the directors and the controlling persons (if any), and specify clearly if any
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities
shareholders, and that of the subsidiaries for the Company. 10. Management structure 10.1 Board of directors Identify the directors and the controlling persons (if any), and specify clearly if any director is
have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management
manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
; “Executives” means directors, managers, divisional manager or upper including any person who have authority as such person; “Property management person” means any juristic person which is entrusted by mutual