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

technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have

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

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

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

under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that