that greater flexibility in fund management, together with clearer disclosure requirements, would be appropriate and consistent with the evolving operational context of mutual funds. Accordingly, the SEC
เพื่อรองรับความรับผิดจากการปฏิบัติงาน (“operational risk capital”) กรณีที่เป็นบริษัทที่เพิ่งเริ่มประกอบธุรกิจมีความซับซ้อนเข้าใจยาก และขอให้สำนักงานพิจารณาปรับปรุงวิธีการคำนวณดังกล่าวให้ง่าย
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
which the debt securities are listed and/or admitted to trading, or are intended to be listed or admitted to trading. In the latter case, indicate the dates on which the debt securities will be listed and
agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
relating to operational function, compliance function, internal audit or risk management, for instance, a compliance committee, a [proprietary trading] investment committee or a risk management committee