, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
derivatives exchange shall evaluate compliance with the rules and professional codes of ethics of such persons at an appropriate period of time and prepare a report on the evaluation results and actions against
disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or long term, such as damage on building or place of business or branches, a failure of