Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific services: (a) investment analysis for capital market
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the
. The analysis should enable the determination of the level of risk of the instrument, expected return, portfolio construction, and the safety level of investment. Investment management shall also be
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of