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handling cyber threats. The activities include stakeholder training, cybersecurity planning and cyber drills. The whole process is expected to help the involving parties lay out their own appropriate and
based on integrity and codes of conduct in the following areas: 1.1.1 Daily routine operation and decision making; 1.1.2 Treatment of trade partners, clients and other parties. 1.2 Following written rules
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
the Thai Capital Market as an Important Alternative for Fund Mobilization and Investment Achieving Efficiency and Competitiveness for the Thai Capital Market ■ Establishment of Derivatives Market as an
continuance process. The SEC believes that it is important that the audit firms establish a set of effective policies and procedures to collect information on conflicts of interests disclosed by shareholders
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
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