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
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive
the investment policy assigned by the employee. In cases where no investment policy has been assigned by the employee, the previous investment policy shall apply. In cases where no previous investment
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
mutual fund management scheme must be sufficiently intelligible to investors in respect of investment policy, securities or assets or contracts in which the mutual fund intends to invest, the liquidity of
, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt