enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
deceases, resigns, or whose approval is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
งาน และงานที่ outsource ต้องอยู่ภายใต้การก ากับดูแล ที่มีประสิทธิภาพ (effective supervision) ด้วย เพ่ือให้เป็นไปตามหลักการส าคัญของการ outsource ข้างต้น ส านักงานเห็นควรปรับปรุง หลักเกณฑก์าร outsource
of at least the following systems: (1) a system for governing, supervision, and risk management of the REIT’s investment, which support REIT manager to conform to the trust instrument and to protect
accordance with the ones established by the IFAC; 3 (4) “auditing advisory committee” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in