Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
5.2 The board should encourage management to adopt responsible operations, and incorporate them into the company’s operations plan. This is to ensure that every department and function in the company
efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
risks that are incurred from the connectivity of operations. For instance, if the system of any one partner faces instability or a security problem, it may have a wide-ranging impact on customers all
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas
of Commerce, Thai Institute of Directors, State Enterprise Policy Office in the Ministry of Finance, Federation of Accounting Professions, Social Security Office, Government Pension Fund, and
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
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company