ความเสียหายที่เกิดขึ้นจาก operational risk 2 (ย้อนหลัง 5 ปี) (บาท) 25 ... 25 ... 25 ... 25 ... 25 ... 1. ความเสี่ยงจากการทุจริตภายใน (internal fraud) 2. ความเสี่ยงจากการทุจริตภายนอก (external fraud) 3

) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing

the intermediary shall be informed without delay; (5) internal control for the operation shall be established in accordance with the information technology governance policy, which contains at least the

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system

agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery

advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company