management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning for supporting business continuity To operate a critical business function continually
PowerPoint Presentation THE BETTER FUTURE IS NOW Uthaiwan Anuchitanukul Executive Vice President Excellence and Sustainble Development Division IMAGINING BETTER FUTURES FOR ALL มุ่งสร้างสรรคส่ิ์งท่ี
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
-making on matters such as allocating assets, awarding investment mandates, designing investment strategies, and buying or selling specific securities. The division of duties within and between institutions
financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business
securities financing. “Critical function” means any activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers
. Succession plan To sustain their operation, it is critical for audit firms to carefully design and follow through their succession plans, particularly for high-level positions. Past inspections suggested that
Dialogue ...................................................................................... 16 Building Trust Is Critical for Effective Engagement
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the