, 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
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
รวบรวมข้อมูลสำคัญท่ีเกี่ยวข้องในการเปิดเผย การดูแล Data gaps เพ่ือรองรับ การปฏิบัติให้เป็นไปตามข้อกำหนดและเกณฑ์ที่เก่ียวข้อง เช่น พลวัตของแรงงาน (Workforce dynamics) การนำ เทคโนโลยีใหม่ ๆ เข้ามาใช้ใน
business as specified by the Notification of the Office. □ 4. Supporting documents for consideration under Clause 4 (4) : The information of personnel in the unit responsible for asset custodyshall comprise
the Office. □ 4. Supporting documents for consideration under Clause 4 (4): The information of personnel in the unit responsible for asset custodyshall comprise at least of the following: □ (1) Number
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics