Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any
. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training
show the readiness of its work system in undertaking gold derivatives brokerage business; (9) Being able to show the readiness of its personnel in charge of gold derivatives brokerage business. Clause 4
rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
redemptions of investment units; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Training institute” means Thailand
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties