enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal

allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal management process; (d) monitor and review the users

in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of

mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed

should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

services within the scope of each type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

2 ตารางแสดงรายละเอียดการจัดเก็บหลักฐาน ประเภทหลักฐานที่ต้องจัดเก็บ รายละเอียดขั้นต่ำ ระยะเวลาจัดเก็บขั้นต่ำ หลักฐานการเข้าถึงพื้นที่หวงห้าม (physical access log) บุคคลที่เข้าถึง / วันเวลาที่ผ่านเข้า

from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk