the information. - The filing of information or preparation of documents shall be made in Thai and/or English; - The registration statement and draft prospectus shall contain at least the required
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information
movement of money and assets of the fund, and approve money and asset transferring for the purpose other than those provided in 1 and 2. 3.2 External auditor to perform the audit of the fund assets at least
improvement in its business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it
investors**. The investment portion of the distressed bond fund would consist of distressed bonds accounting for at least 60 percent of the total net asset value (NAV), while the rest may invest in other
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day