เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
and monitor the investment of those persons; (3) preparing a measure for pursuing, controlling and monitoring compliance with the system and measure as prescribed in sub clause (2); (4) determining for
personnel, in order that the intermediary able to pursue and monitor the investment of those persons; (3) preparing a measure for pursuing, controlling and monitoring compliance with the system and measure as
Exchange Commission concerning Duties related to Infrastructure Funds of Management Company , measures on non-compliance, and additional rules governing the following matters: (1) the establishment of a fund
compliance of user account and password. · Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption etc. and
the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange