least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
oversight 2) Management’s role 1) Risks and opportunities 2) Impact on organization 3) Resilience of strategy 1) Risk identification and assessment processes 2) Risk management processes 3) Integration to
following personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname
: The personal data that the SEC Office collects includes both direct and indirect data, for example, identification number/passport number, title, name, surname (Thai/English), date of birth, citizenship
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
following personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname
guidelines, the manual and the disclosure checklists available on the SEC website. - 2 - Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office