สร้างความมัน่คงปลอดภยัของระบบสารสนเทศดา้นบุคลากร (human resource security) 2.4 การบริหารจดัการทรัพยสิ์นสารสนเทศ (asset management) 2.5 การควบคุมการเขา้ถึงขอ้มูลและระบบสารสนเทศ (access control) 2.6 การ
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1
แนวทางแกไขปรับปรุงตอไป (ข) พิจารณาความเพียงพอของระบบการควบคุมภายใน (Internal Control) การตรวจสอบภายใน (Internal Audit) และการบริหารความเสี่ยง โดย 1. คณะกรรมการตรวจสอบควรทบทวนแผนการตรวจสอบภายในประจําป