access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its
Transactions Act B.E. 2544 (2001), etc.; and 8. The Applicant has studied, acknowledged and understood the Personal Data Protection Policy for internal administration (as disclosed on the SEC Office’s website
contributions to social and environmental issues and in their SEC’s 56-1 One Report Disclosures.The SDG Impact Standards are voluntary internal management standards designed to help businesses and investors embed
according to the Licensing Manual for the Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together
Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together with evidentiary documentation to the
consideration. - Review the internal control system to oversee that the internal audit procedures are adequate, appropriate and efficient. In addition, to observe the independence of the internal audit unit, as
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker