required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
ต่าง ๆ ใช้ในช่วงเวลาหนึ่ง 7. ความเสียหายจาก การปฏิบัติการ การส่งมอบ และ การจัดการกระบวนการ (execution, delivery and process management) ความเสียหายที่เกิดจาก ความล้มเหลวของการประมวลผลการทำธุรกรรม หรือการ
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
account opening process. In this regard, the procedure should be in accordance with the guidelines of the Office Re: Rules, Conditions and Procedures for Risk Management System to Prevent Money Laundering
Describe the operating results and the results related to environmental management, only in material issues in the business operational process, for example, management of power, water, garbage, waste and
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
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. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This