services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c
(fair treatment) (ง) หลกัปฏิบติัในการรักษาความลบัของลูกคา้ การจดัเก็บและการควบคุม เอกสารท่ีเก่ียวกบัการเป็นท่ีปรึกษาการลงทุน (preservation of confidentiality) (จ) หลกัปฏิบติัในการซ้ือขายหลกัทรัพยข์อง
reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity
Security and Privacy in Public Cloud Computing SANS: Cloud Security Framework Audit Methods ISACA: IS Audit/Assurance Program – Cloud Computing, CSA: Cloud Security Alliance (https
provider which shall include the outsourced function; (c) information security, confidentiality and privacy regarding information of the intermediary and clients ; (d) service provider shall comply with the
provider which shall include the outsourced function; (c) information security, confidentiality and privacy regarding information of the intermediary and clients; (d) service provider shall comply with the
. Notwithstanding sub-paragraphs 1 and 2 above, the Authorities recognise that additional restrictions on the use of non-public information may be imposed under Domestic Law. Paragraph 10 Confidentiality of
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its