แนวทางในการกำกับดูแลการเสนอขายกรมธรรม์ Unit Link PAGE 2 หลักการ การกำกับดูแลการเสนอขายกรมธรรม์ Unit Link ในระยะที่ผ่านมามีบริษัทประกันชีวิตหลายแห่งประสงค์ที่จะออกกรมธรรม์ประกันชีวิตควบการ ลงทุน (Unit

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

a year at least by an internal unit of the securities company or by an outsider inspector Propose to modify from “mandatory” to “accredit” - Aberdine Securities Public Company Limited Add content of

and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value

lending transactions through or with another business operator or the central securities depository ; or (2) undertake proprietary securities borrowing or lending transactions through its unit that provides

entity’s networks; (4) policy on access control on information and information processing facilities in line with IT security requirements; (5) policy on the use of IT outsourcing which covers selection and