resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party The Notification of the Capital Market Supervisory Board No. TorThor. 1/2561 Re: Rules, Conditions, Procedures for
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
of directors but not less than three persons. The audit committee consists of at least three persons and at least one person must have adequate knowledge to review the reliability of financial
performing function of financial advisory; (3) Having operational rules and guidelines of financial advisory functions which are precise, reliable, secure and sufficient in accordance with the professional
notification is required except outsourcing the investment management function of mutual funds or provident funds to S/P which is not located in a country where regulatory measures on investment management in
ดูแลการปฏิบัติงาน เป็นต้น ** งาน central utility function ได้แก่ การให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและจัดการกองทุน (Fund Service Platform) ซึ่งให้บริการโดย บริษัท ดิจิทัล แอค