maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
on Holding of Investment Units of Mutual Funds and Duties of Management Companies. The intermediary shall dispose of the units invested under (1) of Paragraph 1 at the earliest occasion by taking into
include such compensation in any payment made on the first occasion to the unitholders. However, if such person is no longer a unitholder, the management company shall complete the price compensation within
is unable to comply with terms specified in clause 7/2, the company shall proceed and complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its
intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a manner of ready retrieval for promptly viewing and
statements for such accounting period upon dissolution date of the mutual fund on that one occasion for a period of longer than twelve months but no longer than fifteen months. Clause 6 In managing a fund
on such previous occasion, as grounds for any subsequent disapproval. Clause 15. In cases where any management company has a mutual fund manager who possesses any prohibited characteristics as per
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its client. Nevertheless, the amendment process should take less than 30 days as of the