business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division 4 Companies should determine a
with a firm commitment to efficiency, transparency and fairness. We have reached our operational goals and witnessed continual market development including stronger ethical conduct in all important areas
กองทุนตามท่ีประกาศก าหนดได้ ส านักงานพิจารณาแล้วเห็นควรทบทวนหลักเกณฑ์ดังกล่าวให้มีความเหมาะสมมากขึ้น โดยค านึงถึงความเสี่ยงหลักของการประกอบธุรกิจ กล่าวคือความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่ง
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities