interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk
(3) Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2568 Re: Standards of Business Operations, Management Structures, Work Systems and Service Provision of Securities Companies
number of employees. The lease covers the space as necessary for actual utilization and it is located in the same area as the current office, which would be convenient and efficient in terms of management
-to-date information; (2) putting in place a reporting system for the information important to the company’s work management, such as financial and non-financial information and operational risk, for
-to-date information; 2 (2) putting in place a reporting system for the information important to the company’s work management, such as financial and non-financial information and operational risk, for
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an