] the intermediary ’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant
functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant standards of business operation; (3/1)( having systems for
able to work accurately as per their duties and create no risk which may render the intermediaries to infringe or not comply with laws, rules and standards relating to such business operations. For
correctly; (2) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely; (9) Every operation
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for
SEC Office. Clause 6 In case the SEC Office has considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the