function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities financing. “Critical function” means any
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
least once a year. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed
. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed without delay
management company shall submit to the Office an application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such
Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018 specifies that [ in case of outsourcing to a
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
air conditioner and humidity level suitable for specification of the computer system, whereas the computer system may fail to function under unsuitable temperature and humidity condition. [M] 2.4 Water