client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a
prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into
the Share Purchase Agreement by August 31, 2017 (“Exclusivity Period”). During the Exclusivity Period, there was inconsistent circumstance and there were confidential information relating to this
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
and protect confidential information of private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel
.”) โดยไดนำสาระสำคัญมาจาก “Handling confidential, market-sensitive information: Principles of good practice” ที ่จัดทำโดย Governance Institute of Australia และ Australasian Investor Relations Association
1. Basic info แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและ แผนการปรับปรุงแก้ไขข้อบกพร่อง ("แบบรายงานผล IT audit") Version: 1/2566 Confidential ภายใต้ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ
characteristics thereof; (6) having not appeared that the intermediary deliberately concealed its financial status or operating result during backward 12 months before the expected date of establishing the branch
that made the intermediary has been determined to have prohibited characteristics thereof; (6) having not appeared that the intermediary deliberately concealed its financial status or operating result
characteristics thereof; (6) having not appeared that the intermediary deliberately concealed its financial status or operating result during backward 12 months before the expected date of establishing the branch