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
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
relevant regulators in utterly cooperative way, and shall disclose to or inform the SEC Office anything relating to the intermediary of which that would be useful or necessary to supervise it or be an order
เสี่ยงเกี่ยวกับความปลอดภัยทรัพย์สิน (damage of physical assets) 6. ความเสี่ยงจากความขัดข้อง หยุดชะงักธุรกิจ และระบบคอมพิวเตอร์ (business disruption and system failure) 7. ความเสี่ยงจากการปฏิบัติงานและ การ
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or
least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and
by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g
and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits
fifty percent of the total outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such