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
systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the
client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of
) back up copies of critical business information, computer operating systems, application software as well as take and test program source code at least once a year. Additional Guidelines 1. The
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
one of Chartered Financial Analyst (CFA) program or Certified Investment and Securities Analyst (CISA) course or other equivalent curriculums as approved by the SEC Office. Clause 5 An application for
การคัดเลือกและ ส่งคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนโดยอัตโนมัติ ซึ่งไม่สามารถถูกแทรกแซงขั้นตอนการส่งคำสั่งได้ ทั้งนี้ เป็นไปตามกลยุทธ์การลงทุนที่ลูกค้าเลือกจากการนำเสนอของบริษัทนายหน้า (program trading
ในหลักสูตรดังต่อไปนี้ (1) Certified Investment and Securities Analysts Program (CISA) ระดับ 1 ขึ้นไป ซึ่งจัดสอบโดยสมาคมนักวิเคราะห์หลักทรัพย์ (2) Chartered Financial Analyst (CFA) ระดับ 1 ขึ้นไป ซึ่ง