; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from accessing non-public information between the service provider’s unit
information or concealment of material facts that should have been disclosed, in any documents to the public or the SEC Office, the CMSB or the SEC. Section 312 Section 148 Section 88 Unauthorized undertaking
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9. A securities company shall retain
ลักลอบเขามาใชระบบ (unauthorized usage) และการสรางรายการปลอม (Fabrication) เชน การสรางรายการซื้อขายหลักทรัพย - 6 - ปลอมโดยแอบอางวาเปนคํ าสั่งซื้อขายของลูกคา ซึ่งมีผลกระทบตอความมีตัวตนที่แทจริง
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 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 Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
which are financial institutions established under other laws and [ii] directors unauthorized to affix binding signature. Clause 49 A person having held the position of an independent director, who has
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchan...
unauthorized use of another person’s information for conducting transactions, as well as to prevent money laundering, along with financing of terrorism and proliferation of weapons of mass destruction. Major