management responsibility Board of directors (“Board”) and senior management of the intermediaries shall be a responsible person for determining the company’s strategies and policies on the business continuity
have been invested, or be a legal custodian in the country where such custodian is located. (5) Be able to show that the personnel of the unit responsible for work relating to fund supervisor is ready or
, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice on securities investment
personnel whose duty, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice
impacts that may have on other funding costs. For Thailand, most economic indicators in the third quarter of 2018 grew at a decelerating rate, as evidenced by slowdowns in export value, international
private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel of the unit responsible for assets custody
of the unit responsible for assets custody function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general