associated with systems assets or equipment assets shall be identified and inventory of these assets should be drawn up and maintained. Such inventory shall be reviewed at least once a year or upon any
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall
.................... · · Removable Storage โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... · · Others (โปรดระบุ) โปรดระบุจำนวนบุคลากรที่ใช้อุปกรณ์ดังกล่าว.................... จำนวนบุคลากรที่ใช้อุปกรณ์เคลื่อนที่ที่ จัดหา
information via the public network, it shall receive an international standard encryption such as SSL,VPN etc. [M] · Providing a measure on controlling the correct of information that storage, input, operate
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
an efficient and ready work system for providing services as securities registrar will be put in place, considering the preparation, data processing and storage, and reporting of service provision; (4
systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
and reconciliation of private fund assets to ensure accuracy and completeness; (d) System for asset inventory demonstrating details and amount of private fund assets and records of acquisition and
records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to