the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates

[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

the use of cryptographic controls and key management for protection of sensitive and critical information; (3) policy on the transfer of information within organization’s networks and with external

examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3

evaluation of controls on complex systems; and · effect of Internet and e-commerce. 2 How is firm dealing with greater use of computer technology - at firm: · use of intelligent software to carry out audit

institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to

denominated in foreign currency , as well as being permitted to provide information or advice in accordance with the law which controls the business operation in the respective foreign country; (2) there is no

capital market products denominated in foreign currency , as well as being permitted to provide information or advice in accordance with the law which controls the business operation in the respective

(management override of internal controls) การเปลี่ยนแปลงข้อมูลในรายงานที่สำคัญ การได้มาหรือใช้ไปซึ่งทรัพย์สินโดยไม่ถูกต้อง เป็นต้น 8.2 บริษัทได้ทบทวนเป้าหมายการปฏิบัติงานอย่างรอบคอบ โดยพิจารณาความเป็นไปได้ของ