of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
flexibility in business operation as well as greater competitiveness, and in line with the trend towards consolidated supervision of financial institutions of the Bank of Thailand.
by the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the
Exchange Commission Remark : The reason for issuing this Notification is that the securities company has flexibility in operating its business, able to increase its income and expand its customer, and to
has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
replacement of lost important data. 4.3 If companies have used a service from a service provider, companies should cooperate with a service provider in determining a recovery time to restore normal operation
is using the online service; 2. the management company has an operating system to verify the identity of the investor; (d) security system for customer information and other important information