investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
relevant to its core or non-core businesses upon conditions that they have an apparent outsourcing policy, measures, criteria, and service provider control system. Outsourcing however does not discharge
the Act. If GL fails to rectify the financial statements, Form 56-1 and Form 56-2 promptly, it may be liable to violation of Section 56 of the Act. In addition, if the GL management fails to administer
as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment management business operators to administer their investment with the best interests for the
commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment management business operators to administer their investment with the best interests of the
_____________________________________________________________________ Remark : The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
https://publish.sec.or.th/nrs/5644pe.doc Translation administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar