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
temporaty or permanently cases. 3.3 Business Impact Anaysis Companies shall analyse a business impact and assess on damage from major operational disruptions so that companies are able to set priority of
written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or
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
) – how are recovery rates set? And how are the partners monitored / supported? 4 How are partners objectives set and how does this place emphasis on quality standards / technical competence compared to
Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds ; (3) shall assess credit risk of deposit taker, issuer of certificate of deposit, drawer of bill of exchange, maker
of cloud computing under Clause 8(1) which contains at least the following matters: (1) assess risks relating to the use of cloud computing services; (2) define areas or function the cloud computing
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or