Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
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approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
TRANSLATED VERSION As of November 21, 2012 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
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and