, automated interface controls, and/or general IT controls System Interfaces (Cont’d) 21 Example of ITGC risks and controls 22 Determine If a ITGC Deficiency Exists: Examples 23 Not a Control Deficiency • The
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of
which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of such error
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment units without high-risk or complex characteristics issued and
Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment units without high-risk or complex characteristics issued and offered for
Jurisdiction; “Home Jurisdiction” means the jurisdiction of the Recognised ACMF Member in which a Professional is licensed or registered or approved or authorised; “Host Jurisdiction” means the jurisdiction
related to REIT management. If there is any deficiency in internal control system, such issue shall be specified as well as explain whether or not and how REIT manager has corrected such deficiency. 12
prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a