the officer using for examining the correct and completion and providing an inspection of such log book consistently. [A] 1.2 Examination · Providing a test once a year for assure that information and

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the

order to assess suitability before investing in or entering into a transaction of such capital market product. In this regard, such examination shall be in accordance with the suitability test as

for supporting continuity of operation in various incidents. In doing so, companies may consider on current situations, past testing results or possible impacts. The test and assessment shall, at least

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

ธุรกรรมให้เป็นไปตามผล suitability test หรือ basic asset allocation มีวัตถุประสงค์เพื่อให้ ผู้ประกอบธุรกิจมีระบบงานในการให้คำแนะนำที่สอดคล้องกับผล suitability test ของลูกค้า ทั้งนี้ กรณีที่เป็นการให้บริการใน

) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or

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

International Organization of Securities Commissions (“IOSCO”) ตาม IOSCO’s 2013 assessment methodology และการปรับหลักเกณฑ์กำกับดูแลสำนักหักบัญชีและศูนย์รับฝากหลักทรัพย์ให้เป็นไปตาม Principle of Financial Market