No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
No CS 03/2018 February 21, 2018 Subject Declaration of Operational Results for the Year 2017 Attention Directors and Managers The Stock Exchange of Thailand For the three-month period ended December
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division 4 Companies should determine a
กองทุนตามท่ีประกาศก าหนดได้ ส านักงานพิจารณาแล้วเห็นควรทบทวนหลักเกณฑ์ดังกล่าวให้มีความเหมาะสมมากขึ้น โดยค านึงถึงความเสี่ยงหลักของการประกอบธุรกิจ กล่าวคือความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่ง
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities