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
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
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
) |- 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