เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง
shall amend such agreement in compliance with the regulations at the earliest occasion but not later than 1 January 2017. Notified this 10th day of November 2014. (Vorapol Socatiyanurak) Secretary-General
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
having improper manner on securities dealing, the Office may order such securities to amend, to act or to refrain from any act in compliance with this notification. Notified this 26th day of September 2000
guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the
and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the