investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
fund is a retail fund, there should be a plan to offer extensively to the public e.g. distribution, advertisement promotion and budgeting. 2.2 In the case where the mutual fund is a non-retail fund
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
results not lower than Broadly Implemented or equivalent based on the Objectives and Principles of Securities Regulation of the International Organization of Securities Commissions (IOSCO) regarding
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined objective, being broadly based, having index components that qualify as
ประเมินมาตรฐานการกำกับดูแล Financial Sector Assessment Program (FSAP) ในหัวข้อเกี่ยวกับผู้สอบบัญชี (auditor) ในระดับไม่ต่ำกว่า broadly implemented (2) กรณีอื่นนอกจาก (1) คำขอละ 200,000 บาท” ข้อ 5 ประกาศนี้
ต่ำกว่า broadly implemented ข้อ 8 ผู้สอบบัญชีต่างประเทศที่จะได้รับความเห็นชอบตามข้อ 6(2) ต้องเป็นไปตามหลักเกณฑ์ดังต่อไปนี้ (1) เป็นผู้สอบบัญชีที่สามารถทำการสอบบัญชีได้โดยชอบด้วยกฎหมายหรือกฎเกณฑ์ของต่าง
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy