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
authority, duties, responsibilities, independence and assignment of the Board of Directors to supervise, screen information and give an opinion to the Board of Directors. The disclosure of such information
enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal
of having complied with such guideline, it shall be deemed that an intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in
intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in the Capital Market Business Clause 4 2 Personnel in the capital market
the service provider intends to assign another party to be a subcontractor at any level, the service provider shall obtain a written consent from the intermediary prior the assignment. Clause 22 In the
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
จัดการกองทุนรวมมีประกัน (guaranteed fund) กองทุนรวมคุ้มครอง เงินต้น (capital protected fund) กองทุนรวมที่มีการกระจายการลงทุนน้อยกว่าเกณฑ์มาตรฐาน (specific fund) กองทุนรวมดัชนี (index fund) และกองทุนรวมอีที
which case specify whether the assignment is at least based on the shareholding percentage and whether or not the Company’s rules and guidelines require an approval from the board of directors, and by