securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
maturity; (4) investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed to undertake