) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
; “ mutual fund ” means any retail fund and mutual fund for accredited investors; “ retail fund ” means a mutual fund that is intended to offer investment units for sale to investors in general and not
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The
. General information and other material facts 19 Part 2: Corporate Governance 6. Corporate governance policy 21 7. Corporate governance structure and material facts related to the board, 23 subcommittees
where no specific notifications prescribe the rules related to the matters of funds in Paragraph 1, the management company shall comply with other notifications prescribing such rules for general mutual
Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of