management arrangement for the organization of information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating
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
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification
; “ Notification on Standard of Business Operation ” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
compliance with the information security policy. Provisions in the Notification No. Sor Thor. 37/2559 Clause 10 An intermediary shall have in place the management arrangement for the organization of
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
directors in each case every time before proceeding with the subcontracting and there shall be an arrangement for the subcontractor to become a person under Clause 12, Clause 16, Clause 17 or Clause 18, as
securities investment analyst under the notification of the Office of the Securities and Exchange Commission governing arrangement to have and approval for securities investment analyst and standards of