เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง
that such persons perform their tasks in compliance with the laws on securities and exchange. In case any designated person becomes no longer suitable for the designated tasks, the management company
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
receipt and payment transaction of the asset of the fund and preparing financial statement 3.4 Compliance Function Objective A management company shall have a compliance function to control and monitor
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company