: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
นโยบายในข้อกำหนด 5(1) (2) และ (3) (ข) การรายงานการปฏิบัติงานในข้อกำหนด 6(4) (2) จัดให้มีการประเมินตนเองในด้านประสิทธิภาพของขั้นตอนการปฏิบัติงาน (control self-assessment : CSA) (3) จัดให้ผู้ตรวจสอบที่เป็น
order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have the power to specify in its