ป้องกันและปราบปราบการฟอกเงิน (anti-money laundering) ด้านการปฏิบัติตามกฎเกณฑ์ที่เกี่ยวข้อง (legal and compliance risk) เป็นต้น) และกำหนดกระบวนการจัดการความเสี่ยง (risk management) และการติดตามความเสี่ยง
such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of
information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval