solution ▪ Position of system ▪ Supervisor 2. monitoring o Monitoring the importance operation system effectiveness to consistently and efficiently functions such as transmission system for securities
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund