appropriate risk management in a timely manner; (5) assignment of roles and responsibilities of the accountable persons and the responsible persons for the management of information technology risk under Clause
license or securities business licenses in the following categories and is regarded as a Non-Publicly Accountable Entities, according to the Federation of Accounting Professions’ financial reporting
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
ชี้วัดดังกล่าว เพื่อให้สามารถบริหาร และจัดการความเสี่ยงได้อย่างเหมาะสมและทันต่อเหตุการณ์ (5) การกำหนดหน้าที่และความรับผิดชอบของผู้รับผิดชอบ (accountable person) และผู้ทำหน้าที่ (responsible person) การ
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.6 Having not deliberately concealed the financial status or the operating result during the