different from carry out a business cause of the securities company such as access risk integrity risk that escalate because of the operation of the outsourcing. Therefore, IT outsourcing have an objective
Right of the management company to access and examine the information 5. There should be measures to prevent any action that may cause conflict of interest both in the part of the delegator and in
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
companies to apply to such operating control: Clause 1 In this Notification: “ securities company ” means a company licensed to undertake securities business in the category of securities brokerage or
conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider
service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to