of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
evaluation, reporting to the delegator, an inspection of compliance to the agreement and the capability of the delegatee in handling the business workload (concentration risk). 3. There should be a contingency
and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly; (2) there is no reasonable ground to believe that the financial condition may
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and
finance during an occurrence of emergency incidents. 5.4 Establishment of alternative site In order to prevent impacts from emergency incidents occurring wide areas, companies may arrange an alternative
expeditious and fair alternative dispute resolution, the customer may request to enter into an arbitration process as organized by the SEC Office for the settlement of civil dispute incidental to or resulted
ลงทุน (ข) แผนรองรับกรณีที่เกิดเหตุฉุกเฉิน (contingency plan) ที่มีผลกระทบต่อ บริษัทจัดการอย่างมีนัยสำคัญหรือที่อาจก่อให้เกิดความเสียหายต่อลูกค้าหรือผู้ลงทุน โดยต้องมีการทดสอบ การปฏิบัติตามแผน รวมทั้งทบทวน
procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency