a year at least by an internal unit of the securities company or by an outsider inspector Propose to modify from “mandatory” to “accredit” - Aberdine Securities Public Company Limited Add content of

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

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

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

performance supervision, internal audit, or risk management; (5) being able to show that person who is major shareholder does not have any prohibited characteristics under Paragraph 2 of Section 25 and the

of inside information between units and personnel, internal control and risk management for operation of derivatives business in the category to be commenced including measure for controlling and

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information