investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
-appointed working committee in charge of implementation of the business continuity management policy. In the event of changes in the organizational structure, operational systems or other events which
working committee in charge of implementation of the business continuity management policy. In the event of changes in the organizational structure, operational systems or other events which significantly
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
No CS 03/2018 February 21, 2018 Subject Declaration of Operational Results for the Year 2017 Attention Directors and Managers The Stock Exchange of Thailand For the three-month period ended December
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of