Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism dated 1 March 2007 ( Notification No. SorThor/Nor/Yor/Khor. 3/2550
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system
Commission Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s
จัดการลงทุน” หมายความว่า ระบบงานที่สำนักงาน กำหนดให้ใช้สำหรับส่งแฟ้มข้อความผ่านเครือข่ายระหว่างสำนักงานกับบริษัทจัดการ (ระบบ Investment Management Reporting System) “สำนักงาน” หมายความว่า สำนักงานคณะ
Investment Management Reporting System) “สำนักงาน” หมายความว่า สำนักงานคณะกรรมการกำกับหลักทรัพย์และ ตลาดหลักทรัพย์ ข้อ 3 ให้บริษัทจัดการจัดทำข้อมูลดังต่อไปนี้ในรูปแบบแฟ้มข้อความที่สำนักงานจัดส่งให้ (1) ข้อมูล
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause