is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
scheme shall be filed with the SEC via the SEC Office and the SEC shall give recommendation and propose such scheme to the Minister for approval. The scheme shall be prepared with the details and
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
any disgraceful record, and must 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
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
ขยายเวลาการส่งรายงานการก ากบัดูแลการปฏิบติังานประจ าปี (annual compliance report) ต่อส านกังาน จาก 1 เดือน เป็น 2 เดือนนบัแต่วนัส้ินปีปฏิทิน เหตุผล เพื่อให้ compliance มีเวลาเพียงพอในการจดัท าสรุปผลการ
recurring practical issues, and complex or newly-issued financial reporting standards. This is to support the stakeholders’ preparation before such standards become effective and subsequent proper compliance
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation
Principle 6 Act Collectively with Other Investors and Stakeholders as Appropriate 50 Principle 7 Regularly Disclose the Investment Governance Policy and Compliance with the Policy 51 REFERENCES 52