governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

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

technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

registrar and the competent official, issue ministerial regulations, and prescribe other tasks to implement this Act. Ministerial regulations shall be enforceable upon their publication in the Government

substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to

less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the

well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the

การเข้ารหัสข้อมูล (key management) [ ข้อ 6 แนวปฏิบัติ 1 ] บลจ.เอ็มเอฟซี ไม่เห็นด้วย ทั้งนี้ อาจจะต้องกำหนดให้ชัดเจน เรื่องการ implement รูปแบบนี้กับบริการระบบใดบ้าง และเนื้อหาในรายละเอียดของแต่ละบริการ