of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
risk เพียงอย่างเดียว หมายเหตุ กรณีเป็นกองทุนรวมที่มีนโยบายลงทุนใน structure note บริษัทจัดการจะต้องพิจารณาตำแหน่งของกองทุนรวม ซึ่งสามารถอยู่ระหว่างกองทุนรวม ตราสารหนี้ ถึง กองทุนรวมที่ลงทุนในทรัพย์สินทาง
security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] · Providing a service as necessary. In case of
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted
technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as