. Investors should avoid using, or permitting the use of, investment consultants’ email addresses or phone numbers for communications or for receiving important documents. This precaution helps protect
expense is included in the financial statements. In addition, the Company has expanded its staff, resulting in an increase in personnel expenses and an increase in the cost of hiring consultants, such as
business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from accessing or
preventing system installed and notify concern person instantly in case appeared that found virus. [M] 9. Audit log. · Providing a record of functional of server and network computer system, application log
in case appeared that found virus. [M] 9. Audit log. o Providing a record of functional of server and network computer system, application log record, information of trespass prevention system such as
กล่าวในข้อ 2.1 - โครงสร้างการบังคับบัญชาและการรายงาน (functional structure)ที่เป็นลักษณะ matrix management -คู่มือต่าง ๆ เช่น คู่มือนโยบายบริหาร (policy manual) ซึ่งใช้สำหรับในกลุ่มธุรกิจการ
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit