necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
securities underwriter as prescribed in Clause 5 or a person as prescribed in Clause 6 would be able to subscribe such securities by complying with the following conditions; (a) in the book building process
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
ข้อมูลล่าสุดที่จะกู้คืนได้ (recovery point objective : RPO) อย่างชัดเจน (6) กำหนดเงื่อนไขความรับผิดชอบในกรณีที่ผู้ให้บริการไม่สามารถให้บริการตามที่กำหนด ในข้อตกลง (7) กำหนดให้เนื้อหาหรือเอกสารที่เกี่ยวข้อง
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example