Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the Capital
period. Additionally, the company failed to prepare and submit reports on its information technology systems to the SEC within deadline. Therefore, Longroot was deemed to have failed to comply with the
) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others Executives of securities
(section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
supporting documents for reconciling input data imported into the Company's information technology system which is used to process insurance contract data, the assumptions used, analysis of impacts and
the arrangement of information technology system to support IT audit, and a summary of the business and compliance system. The revision is a result of the workshop on consideration of application for