encompassing business 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
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b
Control Board (NCB), etc. In the case where no wrongdoing is detected, the SEC Office will not store such data; Data for authentication from the Department of Administrative Affairs which will be stored in
ครอบคลุมการดำเนินการอย่างน้อย ดังนี้ (ก) กำหนดผู้รับผิดชอบต่อความเสี่ยง หรือเจ้าของความเสี่ยง (risk owner) (ข) ระบุการควบคุมที่มีอยู่ในปัจจุบัน (existing control) (ค) วิเคราะห์โอกาสหรือความถี่ที่จะเกิด
- related risks, and maximise positive ESG outcomes. ACTIVE OWNERSHIP 2.0 Sets out a framework for the more effective and ambitious stewardship needed to deliver against beneficiaries’ interests and improve