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
efficient business operational process should be disclosed as well. The Company may also disclose the operating results, the outcomes and the action plan (if any) related to other social management as the
approval in that specific case and that the benefit to be gained does not worth the cost to be incurred in complying with the said rules or conditions; (2) the management company is subject to restrictions
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
ตราสารทุนที่จัดประเภทเป็นเงินลงทุนเผื่อขาย และ เงินลงทุนทั่วไป 2.4.3 ขาดทุนจากการด้อยค่าของเงินลงทุนในบริษัทย่อย บริษัทร่วม และการร่วมค้า นอกจากนี้ ในกรณีที่บริษัทหลักทรัพย์มีรายการ ต้นทุนขาย (Cost of
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention