technology risks; (2) monitor and analyze potential risks to computer systems relating to trading services with respect to derivatives by recording and maintaining usage information and log files. Chapter 4
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
Organisational structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission
; “ investment analyst ”9 means a person giving investment consultation to investors and eligible to analyze investment related to the value or appropriateness for trading or investing in capital market products
relation to the provision of service regarding statistic processing of data program, which is able to analyze page view and revenue of each team, page view and revenue of each website and page, in order of
investors and eligible to analyze investment related to the value or appropriateness for trading or investing in capital market products whether or not the analysis is fundamental or technical, in conjunction
that could significantly affect financial position or future operation (forward looking) for investors’ understanding and be able to analyze future operation direction of REIT. 15. Trustee Opinions on
access, abnormal and/or illegal use of information systems and user identification of internet trade clients. It should also be required to monitor and analyze such recorded evidence. 31 Provisions in the
.. UNOFFICIAL TRANSLATION Codified up to No. 5 As of 23 March 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the Capital Market Supervisory Board relating to the issuance and offering for sale of securi...
systems and user identification of internet trade clients. It should also be required to monitor and analyze such recorded evidence. Provisions in the Notification No. Sor Thor. 37/2559 Clause 23 An