of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
the company’s strategies and policies on the business continuity management (BCM) and the business continuity plan (BCP), including allocation of resources and budgets to relevant units properly, and
controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
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
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In
วางแผนการลงทุน (Asset Allocation) ตราสารหนี้ กองทุน ตราสารทุน สัญญาซื้อขายล่วงหน้า ตราสารหนี้1 กองทุน2 ตราสารทุน สัญญาซื้อขายล่วงหน้า 1. นักวิเคราะห์การลงทุนปัจจัยพื้นฐานด้านตลาดทุน ( ( ( ( ( ( ( ( ( 2