contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
operation in foreign countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel
ระบบงานที่เกี่ยวข้องซึ่งผู้ประกอบธุรกิจต้องให้ ความส าคัญ ได้แก่ 1. IT Risk Management 2. Record Keeping โดยข้อก าหนดและตัวอย่างวิธีการต่าง ๆ มีรายละเอียดตามเอกสารแนบ II. เหตุผลความจ าเป็นและวัตถุประสงค์
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
its intention to use a client’s rights and benefits without the client’s order or consent given in writing. Chapter 2 Record Keeping of Clients’ Assets Clause 12 A securities company shall prepare
, protect and improve corporate reputations. Additionally, an effective record-keeping system should be maintained to ensure that the information disclosed to the clients and the public is accurate.
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the