Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

the following rules: (1) establish a policy, measures and procedures for outsourcing operational function to a service provider in accordance with the rules prescribed in Chapter 1; (2) outsource the

) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall

. Such report shall contain at least the following particulars: (1) Incorrect unit value; (2) Correct unit value; (3) Causes of the incorrect unit value; and (4) Preventive measures against the incorrect

and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between responsible units and other personnel, internal

against independence impairment of partners in the Audit Firm 8 8. Details of the quality control system of the Audit Firm 8 9. Audit Quality Indicators (“AQIs”) 9 1. Audit Firm Profile Name

include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for