Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows
continuous monitoring, as they may trigger financial market volatilities and capital outflows from emerging markets including Thailand. Furthermore, China’s financial stability issues and international
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Notification of the Securities and Exchange Commission KorThor 17/2560 Rules, Conditions and Procedures for Applying for Licenses and Granting Licenses for Operating Securities Clearing House
operating system and competent personnel in the same level as where the management company would fulfil the functions. 2. There should be an ongoing performance monitoring of the delegatee e.g. performance
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its