, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of
ดูแลตลาดทุน (Tech-led supervision) ระยะเวลา ในการด าเนินการ Q1-Q4/66 Q4/66-Q4/67 1. Cyber Resilience Readiness : การด าเนินการกบัผูป้ระกอบธรุกิจ ตวักลาง • ยกระดับการก ากบัดูแลให้มีประสิทธิภาพเทา่
, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall be specifying the
marking to market, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall
an asset management company or a non-asset management company: obtaining approval by the SEC, and being in readiness of work systems and staffs; in case of a non-asset management company, additional
/ Financial Technology & Innovation Collaboration & Engagement Readiness • การเข้าใจบริบทของประเทศและองค์กร ตั้งเป้าหมายที่ชัดเจน และด าเนินการตามแผน G Governance Driving Industry Towards Sustainability Goal
, settlement and delivery of securities and assets, recording asset account of customers and funds, sale and redemption of investment units, NAV calculation or investment management. 8.2.4 Readiness of computer