company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
)........................................... Audit firm: ..……………duration of employment: …................years Position: .................................................................................................. (1.2) Since
วันที่ลงทุนในทรัพย์สินหรือเข้าทำสัญญานั้น และมี portfolio duration ในขณะใดขณะหนึ่ง ไม่เกิน 3 เดือน เสี่ยงปานกลาง ค่อนข้างต่ำ 2 กองทุนรวมตลาดเงิน - มีนโยบายลงทุนในต่างประเทศบางส่วน แต่ไม่เกินร้อยละ 50
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are
shall retain office for the remaining duration of the full term of the Chairman or commissioner whom he replaces. ( During the period when no appointment of the Chairman or a commissioner of the SEC has