appropriate risk management in a timely manner; (5) assignment of roles and responsibilities of the accountable persons and the responsible persons for the management of information technology risk under Clause

license or securities business licenses in the following categories and is regarded as a Non-Publicly Accountable Entities, according to the Federation of Accounting Professions’ financial reporting

private fund for which  it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for

ชี้วัดดังกล่าว เพื่อให้สามารถบริหาร และจัดการความเสี่ยงได้อย่างเหมาะสมและทันต่อเหตุการณ์ (5) การกำหนดหน้าที่และความรับผิดชอบของผู้รับผิดชอบ (accountable person) และผู้ทำหน้าที่ (responsible person) การ

administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function

discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the

of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each

securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for