enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
Punyashthiti Assistant Secretary - General Mrs. Waratchya Srimachand Market Supervision Department Mrs. Suwanna Chuerboonchai Accounting Supervision Department Mr. Thawatchai Kiatkwankul Corporate Monitoring
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
-effective market infrastructure leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To
: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF
: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
with the Office, whose main objective is to promote and develop securities business in the category of asset management; 1“Custody agent” means any person whom a registered person appoints as an agent to