, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such

. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees

supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to comply with such rules. In case

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section

leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement