นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวปาฐกถาพิเศษ ในงานเปิดตัว “TRIS Rating Green Bond Verification Service” จัดโดยบริษัท ทริสเรทติ้ง
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022
Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme
Outsourcing Function related to Business Operation to Third Party
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
to the financial aspect of business operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
, who are responsible for the asset custody function of an applicant within the period of 3 years preceding the year of application filing until the date of application filing. Provided that, after
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas