person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of
. In the case that the cloud computing was employed to carry out critical activities , the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the use
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the