SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
necessary case such as system administrator computer operator etc.. Physical Security. Objective . Physical Security have an objective for preventing unauthorised person access risk, integrity risk or make
asset such as customer’s information or information of investment units incorrect because of computer system assessment or modification by the unauthorised person”etc. (Translation) -4- Segregation of
period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
transactions (particular risks might arise when multiple users access a common database); • The possibility of IT personnel gaining access privileges beyond those necessary to perform their assigned duties
necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be applicable, mutatis mutandis. The operating plan of
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