(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However
approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum
protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets
precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives business in the category of derivatives broker limited to precious
: The Rationale for issuing this Notification is to permit precious metal trading firm who has appropriate qualifications and readiness in financial status and administration to undertake derivatives
administration) ออกจากกัน และต้องจัดให้มีระบบการสอบยันการปฏิบัติงานระหว่าง บุคลากรในหน่วยงานดังกล่าว โดยอย่างน้อยต้องไม่มอบหมายให้บุคลากรคนหนึ่งคนใดรับผิดชอบ การปฏิบัติงานตลอดกระบวนการในลักษณะที่อาจเป็นช่องทางให้