evaluation, reporting to the delegator, an inspection of compliance to the agreement and the capability of the delegatee in handling the business workload (concentration risk). 3. There should be a contingency
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
ลงทุน (ข) แผนรองรับกรณีที่เกิดเหตุฉุกเฉิน (contingency plan) ที่มีผลกระทบต่อ บริษัทจัดการอย่างมีนัยสำคัญหรือที่อาจก่อให้เกิดความเสียหายต่อลูกค้าหรือผู้ลงทุน โดยต้องมีการทดสอบ การปฏิบัติตามแผน รวมทั้งทบทวน
procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency
สัญญาซื้อขายล่วงหน้า (contingency plan)โดยระบุกรณีฉุกเฉินให้ครอบคลุมถึงเหตุการณ์ต่าง ๆ ตลอดจน ขั้นตอนการดำเนินการและผู้รับผิดชอบในแต่ละกรณีให้ชัดเจน 11. ระบบการจัดการเกี่ยวกับข้อร้องเรียนหรือข้อพิพาทที่
on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply