balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall
least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
systems are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements
account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive
because of the securities company in the position as a subsidiaries or entire taken over or almost under control by the other business. 3. Summary of Significant Accounting Policies Disclosure of each topic