เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล เรียน Compliance ของบริษัทหลักทรัพย์จัดการกองทุนรวม / กองทุนส่วนบุคคล           ตามหนังสือเวียนที่ น.(ว) 13/2549 เรื่อง นำส่ง

” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company

the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by

ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

inspection to evaluate its compliance with 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

policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and