supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
software or changes should be investigated; (5) procedures to monitor and verify threat intelligence to make all relevant users become aware of threats. 8.3 Backup Objective: To protect against loss of data
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
information security; (3) define the recovery time objective (RTO) for information system and its priority to be recovered based on its criticality and potential impact; (4) consider redundant information
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.