operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
operation of the back office, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in
operation of the back office, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House
-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
นาย เฟรดดริค อีแอน แมคอินไทร์ ผู้บริหาร ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 0008/2557 ข้อ 31 วงเล็บ 2 เพิกถอน 30/09/2563 - 29/09/2571
initial stage of their operation, and thus exposed to high risks, including business risk, obligations of the offered debts, trading channels and transfer limitation. In addition, to manage risks and