correctly; (2) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at
) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at least once a year
the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of
Management System Objective A management company shall have an investment management system containing clear processes and procedures both prior to and after investment. The system shall also have appropriate
from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
processes and fee _____________ Clause 7 An applicant for the registration as a derivatives business operator shall submit an application form to the SEC Office together with the supplementing documents and
be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to
registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office
processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the