security in accordance with the following criteria: (1) manage and control computer network systems in a secure way to ensure prevention of any action that may cause a risk to information in networks; (2
” means any juristic person which is entrusted by mutual fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter
person” means any juristic person which is entrusted by mutual fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
just one percent, as can be seen in figure 13. The SEC also paid special attention to the quality control system related to the maintaining of clients’ confidentiality. Moreover, the result of the
report quality, promoting an appropriate internal control system, and preventing frauds. The Securities and Exchange Commission (SEC), on September 29, 2020, held a public live talk on the topic
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
. 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