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
must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April
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
operation of company or arising from regular operation of the company, including other activities related to the business operation or carry out of such work. In a case of having a net loss, it shall
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
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
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
levels; and · require the Ethics Partner to carry out appropriate investigations, where the audit client or a third party calls into question the integrity, objectivity or independence of the audit firm. 8