or cash-equivalence. The number of units allocated to any persons or a group of the associated persons shall not be over 50% of the units sold. Information disclosure and advertisement Compliance with
Stock Exchange of Thailand. 6.2.2 The board should clearly set out in writing the audit committee’s duties and responsibilities, and include at least the following: (1) Review the company’s financial
sets out the roles and responsibilities of the board and management. The board should regularly review the policy. 1.4.2 The board is responsible and accountable for the overall affairs of the company
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
utility functions include the functions such as support services for investment units dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd