the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time
image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time, business manner or circumstance, and
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged
โปรแกรมไม่ประสงค์ดี ณ จุดทางเข้า-ออก เครือข่าย (gateway) ของระบบเครือข่าย ( กำหนดให้ผู้ดูแลระบบ ติดตามข่าวสารเกี่ยวกับโปรแกรมไม่ประสงค์ดี อย่างสม่ำเสมอ ( สร้างความตระหนัก (awareness) เกี่ยวกับโปรแกรมไม่
computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6
สร้างความตระหนักรู้ (awareness education) เกี่ยวกับการรักษาความมั่นคงปลอดภัยของระบบสารสนเทศแก่พนักงานและผู้ให้บริการภายนอก ที่ปฏิบัติงานภายในองค์กรอย่างสม่ำเสมอ โดยเนื้อหา ต้องสอดคล้องกับนโยบายด้านการ
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the