September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an

general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the

ดูแลระบบปฏิบัติการคอมพิวเตอร์ ตามความเหมาะสม ( กำหนดบุคคลผู้รับผิดชอบในการกำหนด แก้ไข หรือเปลี่ยนแปลงค่า parameter ต่าง ๆ ของ system software ในเครื่องแม่ข่าย และอุปกรณ์ระบบเครือข่าย อย่างชัดเจน ( มีการ

loophole of program of system software such as DBMS operational system and web server etc.. [M] · Testing the system software related to the security and operation effectiveness prior to installment and

the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform any acts to engage into assets trading or enter to be

case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short