that of the subsidiaries for the Company. 2. Risk Management 2.1 Risk management policy and plan Describe the policy, operating framework and organizational risk management plan to demonstrate that the
ความร่วมมือภายในกลุ่มประเทศอาเซียน (MEMORANDUM OF UNDERSTANDING ON THE ACMF PASS UNDER ASEAN CAPITAL MARKET PROFESSIONAL MOBILITY FRAMEWORK) (ก) หุ้นที่เป็นหลักทรัพย์จดทะเบียนในตลาดหลักทรัพย์ประเทศ
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes (2) เป็นโครงการจัดการลงทุนต่างประเทศที่มีลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee
connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross
Operational Matters and Part II : The Product Restrictions of Qualifying CIS as prescribed in Appendix C : Standards of Qualifying CIS of the Memorandum of Understanding on Streamlined Authorisation Framework
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3