. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
customer, derivatives broker shall inform and get the customer’s consent in written. (6) In cases where derivatives broker giving advice related to derivatives contract, derivatives broker shall give
necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which