Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
internal short
including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the unit responsible for custody of private fund assets
): □ (1) Organization structure of the applicant including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the
capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance, internal audit or
, internal audit or risk management; (4) being able to show that no major shareholder has any prohibited characteristic as specified in Paragraph 2 of Section 25 and the Notification of the Capital Market
Property as a Tool for Accessing Funding Sources, initiated by the Department of Intellectual Property. The signing ceremony was presided over by Mr. Pichai Naripthaphan, Minister of Commerce, and
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology