international standards, policies and best cyber security practices under the supervision of the Bank of Thailand. Along with this, service users have been continually equipped with beneficial knowledge via
เรื่อง การดํารงเงินกองทุนสภาพคลองสุทธิ ประกาศคณะกรรมการ ก.ล.ต. ที่ กธ. 66/2547 เรื่อง การดํารงฐานะทางการเงินของผูไดรับใบอนุญาตเปนตัวแทนซื้อขายสัญญาซื้อขายลวงหนา 2. การกําหนดระดับ early warning เกณฑป
investment will be made in the shares issued by the company in Clause 5(5), the applicant shall prove that a supervision is put in place to direct the operation of the company in accordance with the
market products by using the client’s information obtained from knowing the client process and assessment of suitability test; (5) provide the additional warning that risky or complex capital market
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
unit, while risk- adjusted performance measurement has been applied with each business unit. KBank’s risk, capital and liquidity management is under the supervision of the Board of Directors, which is
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due