information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M] o Keeping a program
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works, but they shall keep monitoring such operations. Division 3 Impacts from
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
the COVID-19 pandemic, issues relating to remote working, operational resilience, and fraud and scam inspection will also be discussed. On 11 March 2021, EU-Asia Pacific Forum will be held and
must work full-time in Thailand and have specified educational background and working experience. Business operators will also be required to specify, in writing, clear responsibilities of compliance
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No