guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among
derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall among each departments
of conduct specified by derivatives broker. Such conduct shall specify at least include internal control system, information security system to prevent access from unauthorized person, and effective
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
the followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation
followings task at least once each year: (1) Testing and reviewing of the business continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
) baht; (2) There being no event which may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than