revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
accordance with the following criteria in order to implement the information technology governance policy of the intermediary specified under Clause 5: (5) internal control for the operation in accordance with
with the following criteria in order to implement the information technology governance policy of the intermediary specified under Clause 5: (5) internal control for the operation in accordance with the
under Appendix Khor) 2. Having effective internal communication channel within the company that may notify the related persons in due course 3. Preparation of backup information stored in the computer
: call out tree under Appendix Khor) 2. Having effective internal communication channel within the company that may notify the related persons in due course 3. Preparation of backup information stored in
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
risks from internal and external factors such as severe droughts, a rise in unemployment and household debt as well as the global outbreak of the Coronavirus (COVID-19) since early 2020. However, the
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in