substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the following specific services: (a) investment analysis for capital market
in the environmental and social areas, which include respect for human rights and good corporate governance. For example, climate change risk, biohygienic and safety risk, disputes with the community
. ความเสี่ยงจากการจ้างงาน และความปลอดภัยในสถานที่ทำงาน (employment practices and workplace safety) 4. ความเสี่ยงจากลูกค้า ผลิตภัณฑ์ และวิธีการดำเนินธุรกิจ (clients, products and business practices) 5. ความ
regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research