baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
(Ramadan Day) announced by the Sheikhul Islam Office if it does not fall on any of the holidays listed above or Saturday and Sunday. Notified this 31st Day of August 2007. - Signature - (Mr. Thirachai
operation is in accordance with the terms specified in the service level agreement; (d) effectiveness for adopting new IT system in business operation. For example, monitoring of the operating time after the
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn
matters: (a) returning of subscription money to unallocated subscribers within fourteen days from the offering closing date. In cases where such money cannot be returned within such period of time, there
within such period of time, there shall be an entitlement of unallocated subscribers’ rights to receive interest at the rate of not less than seven point five percent per annum from the date after such
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the