such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal management process; (d) monitor and review the users

professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its

risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

in such a manner that does not comply with the fair allocation principle; and (7) a person to whom an offeror of newly issued securities is not allowed to allocate securities under the Notification of

mutual fund so that such mutual fund obtains benefits in such a manner that does not comply with the fair allocation principle; and (5) a person to whom an offeror of newly issued securities is not allowed

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for