who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence. Clause 9 An intermediary shall establish the information security which addresses at least
เนื่อง จากรายงานสถานะ บล. ฉบับย่อ ที่บริษัทจัดส่งให้สำนักงานเป็นรายวัน สำนักงานพบว่า ในช่วงเวลาที่ ดัชนีราคาหุ้นตลาดหลักทรัพย์แห่งประเทศไทย (“SET Index”) มีความผันผวนมาก เช่น กรณีวิกฤตเศรษฐกิจ ในยุโรปที่
, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market products or [iii] selling capital market products by using
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency