institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
, 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
ผู้ช่วยเลขาธิการ (คุณรพีฯ) PAGE 2 แนวทางการกำกับดูแลการทำธุรกรรมด้านหลักทรัพย์ผ่านสื่อ on-line (ฉบับที่ 2) ด้วยปัจจุบันผู้ให้บริการด้านระบบคอมพิวเตอร์ (service providers)ได้เข้ามามีบทบาทสำคัญ ในการ
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and