2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and
client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint at least five members to the board of directors, and of this at least two board members shall be
approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the SEC's acceptable standards, while the
prohibited or restricted investments. Other funds may have their ESG efforts developed by a fund board of directors working to establish ESG priorities that address portfolio risk issues or respond to concerns
-off period. Example 2 : There was no documentation of inquiries regarding non-audit services from network firms. In addition, in client acceptance process, some audit firms did not have policies to
and capital market. Furthermore, they must not have any of the restricted characteristic and must be registered with the SEC. Their responsibilities and duties are prescribed in the SEC’s minimum
: www.sec.or.th Email: mrfhongkong@sec.or.th Page 14 of 15 (d) the Hong Kong Covered Fund may have indirect exposure to restricted assets19 via its investment in underlying funds falling within paragraphs 5(a), 5(b
access rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal management process; (d
be used to enable linkage to other service providers under the National Digital ID program in the future. 3. Customers’ right to choose services must not be restricted. 4. IT risk management and cyber