No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
are allowed by law to invest; (3) giving advice through radio programs, television programs, newspapers or other print media in such ways that meet all of the three following conditions: (a) giving
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which
explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market
frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a