. Any custodian who has been registered as a person qualified to be a mutual fund supervisor and has been approved by the Office for custodian agent appointing system for a mutual fund, such custodian
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also
บกำรใชง้ำนกบัผูใ้ชง้ำนท่ีมีสิทธิพิเศษ เช่น supervisor, root, Administrator เป็นตน้ มีกำรเฝ้ำระวงัและตรวจสอบกำรพยำยำมเขำ้ถึงขอ้มูลโดยผูไ้ม่มีสิทธิ มีกำรเฝ้ำระวงัและตรวจสอบกำรแจง้เตือนของระบบ ไดแ้ก่
Filing fee is waived and the cooling off period is 14 days. In addition, Financial Advisor (FA), who must not be the Rehabilitation Plan Administrator, is required to cooperate with the issuer of the
: Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator, dated 16 July 2023 (Notification No. Sor Jor. 38/2561)
account) ผู้บริหารบัญชีผู้ใช้งาน (account administrator) และผู้สนับสนุนการนำส่งข้อมูล (ผู้จัดทำหรือเตรียมการข้อมูล) กำหนดบุคคลที่เกี่ยวข้องในการนำส่งข้อมูลต่อ ก.ล.ต. ซึ่งต้องมีการพิสูจน์และยืนยันตัวตนตาม