by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
. The analysis should enable the determination of the level of risk of the instrument, expected return, portfolio construction, and the safety level of investment. Investment management shall also be
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any arrangement to ensure that the relevant service provider is able to
unitholders and the management company and the resolution of the unitholders. Clause 6 A management company shall establish a system for the administration and the management of a fund which covers at least the
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity