) โดยกำหนดรูปแบบและวิธีการที่ใช้วัดค่าความเสี่ยง ที่เหมาะสม ซึ่งควรมีการทดสอบ Model validity อย่างสม่ำเสมอ รวมทั้งการกำหนดค่าความเสี่ยงที่กองทุน จะสามารถรับได้ และการกำหนดการกระจุกตัวของผู้ออกตราสาร/คู่
procedure to examine the accuracy of the list of unitholders who have the right to vote and the number of units together with the letters sent to the unitholders 5.3 A procedure to examine the authenticity of
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
management company shall appoint an institution of finance or juristic person established in a foreign country which has legitimacy to sell investment unit or receive investment unit redemption under the law
financial institution or a juristic person in a foreign country which has legitimacy to operate business in sale or acceptance of redemption of investment units under the law of such country and such
the times that accept the user for entering incorrect password. For the general practice, it is not exceed three times. · providing a method for deliver the password to the user strictly and safety such
or less than 1.5 times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day
recorded from the use of critical information systems . Logging descriptions Category of logs Minimum Logging Details Minimum Period of Retention Physical Access Logs Name of access persons, Dates, Times and
allowed for derivatives trading under Clause 8 and Clause 9 shall maintain its qualifications according to Clause 6 at all times when such derivatives broker trades derivatives for its proprietary account