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
[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
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
business day in the amount not less than fifteen million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the
such service provider operates business, the intermediary may use the assessment results of the supervisory standards on hedge funds (Principle 28) instead. For the purpose of this Clause: The term
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