) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division 4 Companies should determine a
established to concentrate on the issuance of rules and regulations governing day-to-day operational matters and leave policy making to the SEC Board (the Principal Board). This is to enhance the SEC?s
? financial status and operational result.? Besides, the SEC allows type 1 property fund to borrow for investment only for another year after REIT regulations come into force. ?The SEC Board agrees to define
promoting market conduct as an organizational culture; (2) product development that is suitable for customers and sales staff abilities, as well as sales channels, operational systems and control; (3
providers. (2) Maintain the ceiling for interest rates charged on personal loans at 28 percent per annum. KBank has already put in place relevant operational procedures to accommodate these new regulations
for suspension of agent and broker license or other corrective action (in addition to license revocation). KBank has studied these regulations and established our operational policies in accordance with
กองทุนตามท่ีประกาศก าหนดได้ ส านักงานพิจารณาแล้วเห็นควรทบทวนหลักเกณฑ์ดังกล่าวให้มีความเหมาะสมมากขึ้น โดยค านึงถึงความเสี่ยงหลักของการประกอบธุรกิจ กล่าวคือความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่ง
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities