interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any client in each
Cyber risk refers to risk that may arise from financial transaction services provided via digital channels, data management, cyber threats and the use of IT to support business operations. It may come
authorities and require financial bailouts, or where emergencies arise in which financial institutions fail to rectify the situations to prevent damage to the wider economic system. After the Cabinet approves
effort to implement a recovery plan in case of emergencies and crises that may arise from the Interbank Transaction Management and Exchange (ITMX). Criteria for severity levels have 15 been established in
UNOFFICIAL TRANSLATION Codified up to No. 12 As of 14 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 49/2555 Re: Issuance and Offer for Sale regarding Units of Real Estate Investment Trust _____________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Ac...
applications or undertaking of businesses under an approval, licence or permission; (3) the prescription of criteria as a guideline for the consideration to address any potential issues which may arise from the
potential research questions arise. For example, the convex flow- performance relationship gives fund managers an incentive to chase returns by taking on additional risk, is there evidence of such behavior in
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
criteria as a guideline for the consideration to address any potential issues which may arise from the enforcement of this Emergency Decree; (4) any other activities to be implemented according to the
14 of the Securities and Exchange Act B.E. 2535: “(4/1) the prescription of a guideline for consideration of any problematic issues which may arise from the enforcement of this Act.” SECTION 8. The