client’s complaints; (d) risk management of various types including IT risk. (3) notify the client that the provision of services is in accordance with the regulatory sandbox , which contains limitations
) handling of the client’s complaints; (d) risk management of various types including IT risk. (3) notify the client that the provision of services is in accordance with the regulatory sandbox , which contains
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15 (B.E. 2543) in accordance with the provision of the Securities
(6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and Management of Funds (No. 4
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive