entity’s networks; (4) policy on access control on information and information processing facilities in line with IT security requirements; (5) policy on the use of IT outsourcing which covers selection and
with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand
service requiring data for processing; (b) experience on investment or entering into any transaction; (c) knowledge relating to investment or entering into any transaction; (d) purpose of investment or
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
and issuance of debenture, etc. (e) Payment of additional remuneration to the director of the company, the offering of securities to the director and employee of the company (f) Processing transaction
promissory note, drawer of bill of exchange or deposit taker under Paragraph 2 is a bank established under specific law, the issuer rating under Paragraph 2 shall include support credit rating assessed by the
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including