นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) PAGE - 2 - ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ที่ อธ./น. 5/2547 เรื่อง แนวทางปฏิบัติในการควบคุมการปฏิบัติงาน
นโยบายการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ (IT security policy) เอกสารประกอบการ public hearing ร่างข้อบังคับและแนวทางปฏิบัติด้านเทคโนโลยีสารสนเทศ PAGE - 30 - เอกสารประกอบการ public hearing ร่าง
of Capital for the portion in excess of the particular under Paragraph 1(2) of Clause 4 of such Notification; (3) in case the insurance does not provide retrospective coverage for damage arising from
service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following
rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an
other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating