) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending such information; (d) non-public information protection system between the agent
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
wider economy. This I Code was developed following a peer review and consultation with relevant stakeholders, including the Office of Insurance Commission, Government Pension Fund, Social Security Office
Director at the Digital Government Development Agency (public organization) (DGA). His professional experience includes development of digital standards of government agencies, cyber security and member of
Central Securities Depositories dated 3 August 2016, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: “parent company” means (1) a juristic person holding more than
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Mutual Fund Registered Person Cross-border
information security officer : CISO) หรือผู้บริหารที่รับผิดชอบในการบริหารจัดการความมั่นคงปลอดภัยด้าน IT ที่มีคุณสมบัติและอำนาจหน้าที่ที่เหมาะสม N/A Yes/Partial/No N/A N/A N/A N/A N/A 1 0 1 D1 #11 x 2.1 4 2.1 #4
เทคโนโลยีสารสนเทศระดับองค์กรที่ดี (governance of enterprise IT) (2) หมวดที่ 2 การรักษาความมั่นคงปลอดภัยของระบบเทคโนโลยีสารสนเทศ (IT security) โดยมีรายละเอียดดังต่อไปนี้ 2.1 แนวทางปฏิบัติเพิ่มเติมเกี่ยวกับ
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for