effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
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
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
system prepared on the website of the SEC Office within 7 business days as from the occurrence of such circumstance: (1) persons under Clause 5, Clause 6, Clause 8 and Clause 9 who has to obtain approval
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in