2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management
and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification
the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
policies in various areas such as product creation, product improvement, or production technology, and disclose the expenses incurred from such research and development over the past three years. In case of
firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and
accessing such stored things wrongfully, inappropriately and unlawfully, especially the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a
of margin call: (1) the required amount of the initial margin and the maintenance margin . If the derivatives broker calls for a different amount of initial margin or maintenance margin in respect of