may affect investors. The SEC however will continue overseeing the testing of the system closely. The implementation of blockchain technology to support capital market processes under regulatory
Securities Companies. 7. Mrs. Dayana Bunnag Expert member She obtained a B.A. in Economics (Honors) from Thammasat University, Thailand, and an MBA from University of Texas at Austin, USA. She was Managing
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
disclosed. • Name of the asset management company managing the master fund (if any) • Investment management strategy such as: − aiming to achieve performance by tracking the benchmarks (passive management
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
of business contingency management, IT security, operational outsourcing and complaint handling. In addition, all but future exchange would be required to comply with new rules on organizational