employment; (6)9 when such persons who are personnel in the capital market business under Clause 9(1) or (3) based on the qualifications of ASEAN investment consultant or ASEAN investment analyst , are no
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function
business as specified by the Notification of the Office. □ 4. Supporting documents for consideration under Clause 4 (4) : The information of personnel in the unit responsible for asset custodyshall comprise
responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the