. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission
ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
requirements for information security and the continuity of information security management in adverse situations; (2) establish procedures, processes and controls to ensure the required level of continuity for
for supporting continuity of operation in various incidents. In doing so, companies may consider on current situations, past testing results or possible impacts. The test and assessment shall, at least
Guidelines 1. Prescription of plan for emergency case which at least has the following details: 1.1 Evaluation of situations both internally and externally that may occur and significantly effects the company
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
effects on the financial statements of undetected misstatements, if any, could be material but not pervasive ( 2.2.1 Circumstances beyond the control of the entity (paragraph number........) ( 2.2.2
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
operational risk โดยอาจตั้งสมมติฐานที่มีผลลบต่อการจัดการสัญญาซื้อขายล่วงหน้า (“worst-case” หรือ “what if” scenarios) เช่น ปริมาณการเข้าทำสัญญาซื้อขายล่วงหน้าเพิ่มขึ้นเป็นเท่าตัว ความผิดพลาดในการคำนวณราคาของระบบ