case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
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Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and
Following the issuance of regulations on information technology systems in 2022*, the SEC recognizes that the current rules should be updated to enable business operators in the capital market to
three years, covering additional access control measures to include both user accounts (or non-administrator accounts) and privileged accounts, and maintaining incident records with root cause analysis