additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

(1) (2) and (3) must be in accordance with the guidelines prescribed by the anti-money laundering authorities. Clause 15. Where it is found that a customer, including his ultimate beneficial owner or

Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the

; (3) there shall be controls of unauthorized access to information systems and applications, as follows: (a) control access of users and system administrators to information and application system

receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification

communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting

administrators 45 มีการทดสอบการบุกรุกระบบ (penetration test) กับระบบงาน ที่มีความสำคัญทุกระบบ โดยผู้ประกอบธุรกิจอาจพิจารณา เลือกจัดทำการทดสอบกับบางระบบงานตามการวิเคราะห์ผลกระทบทางธุรกิจ (business impact analysis

system administrators to information and application system functions in accordance with the defined access rights; (b) control access to information systems and applications by a secured log-on procedure