persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
, 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
systems are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle
balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
because of the securities company in the position as a subsidiaries or entire taken over or almost under control by the other business. 3. Summary of Significant Accounting Policies Disclosure of each topic
ปลอดภัยด้านสารสนเทศเป็นส่วนหนึ่งของระบบสารสนเทศของทั้งภายในองค์กรและที่เกี่ยวข้องกับการให้บริการภายนอกผ่านเครือข่ายสาธารณะ ตลอดช่วงอายุ การใช้งานระบบสารสนเทศ (entire life cycle) ได้แก่ กระบวนการจัดหา
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated