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
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s
securities company who can provide information for client; (2) Arrange to have system that the client can communicate with the securities company’s staff at the premise of the securities company; (3) Arrange
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6
Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the
: Cancellation of the Notification of the Capital Market Supervisory Board regarding Undertaking of Securities and Derivatives Businesses of Securities Company and Derivatives Intermediary dated 6 September 2013