persistent threat (APT), the network segregation, the application-to-application encryption, defense-in-depth and the network hardening; (4) define a clear set of controls including access control, monitoring
professional judgment · Understanding of the firm’s quality control policies and procedures 9 Does the firm set up audit team by industries of clients? 76
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Repealed . Clause 29 A securities company shall supervise and control its employees to comply with this Notification and the rules set out by the securities company for compliance with this Notification