In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...

Type of securities : Common share | Effective Date : 06/05/2022 | Close Selling Date : 13/05/2022

Outsourcing Function related to Business Operation to Third Party

Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party

the capital market, taking into account its strengthening of good governance standards, decisive actions against market misconduct to safeguard investors, strong support for innovation and regulatory

safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by

of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each

........................................ ...................................... ......................................... (Additional details can be submitted as attachments) 3. Internal Management of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners

reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas

Objective: To ensure correct and secure operation relating to the information systems. Provisions in the Notification No. Sor Thor. 37/2559 Clause 23 An intermediary shall establish measures for operations