practically and completely when emergency incidents happened, companies shall provide a qualified and independent evaluator to evaluate the effectiveness of auditing plan and the BCP testing results that the

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient

otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational

Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of

5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following

this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital