announcement that the IOSCO, having considered that the Thai SEC has in place international standards of information sharing and exchange mechanism in line with the IOSCO benchmarks, had approved for the Thai
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management
Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which violated
of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is failing to segregate assets under its custody as assets
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
compliance profession. The joint meeting took place on 1 December 2023.