Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
ลูกค้าและการมอบหมายงานด้านการจัดการลงทุนให้บุคคลอื่นของ บลจ. จะไม่กำหนดไว้ในประกาศ COI แต่จะมีการกำหนดไว้ในประกาศเกี่ยวกับระบบงานและประกาศเกี่ยวกับการมอบหมายงานแทน 2.2 guideline COI 2.2.1 กำหนดเพิ่มเติม
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
of information which should not be disclosed between units and personnel (Chinese wall), a system for internal audit and internal control. Such policies, rules and practices shall be prepared in
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4