providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of
unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment
impact) (5) ระดับค่าความเสี่ยงก่อนการควบคุม (inherent risk) (6) แนวทางจัดการความเสี่ยง (risk treatment) (7) เจ้าของความเสี่ยง (risk owner) (8) ระดับความเสี่ยงที่เหลืออยู่ (residual risk) (9) สถานะของการ
– “CRAF”) ซึ่งเมื่อผู้ประกอบธุรกิจประเมินตนเองแล้ว จะช่วยให้ทราบความเสี่ยงด้านไซเบอร์ที่เกิดจากลักษณะการประกอบธุรกิจของตนเอง (inherent risk) และผู้ประกอบธุรกิจมีระบบงานที่ช่วยควบคุม
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
business personnel for a period of seven years and six months, effective from 8 August 2020. In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s
. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section