SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security of the
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fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
....................................................................................22 Root Cause Analysis......................................................................................33 Framework and Focuses in 2019...............................................35 Essential
before offering the newly added investment policy to the PVD’s fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment
capital to green investments that are essential in driving sustainable growth in Thailand.”Mr. Andres Vinelli, Chief Economist, CFA Institute added “Climate change is not a future event waiting to happen
necessary. Clause 4. In addition to the material information of the contract that should be identified as agreed upon by counterparties, the securities registrar shall include the following contents in the