, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
process organized by the SEC Office in accordance with the rules and procedures prescribed by the SEC Office when requested by the client for the settlement of civil dispute incidental to or resulting from
and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the
advisory company under Clause 3 is unable to maintain collateral and liquid asset adequacy or in the process of amendment of adequacy under Clause 4(2), the investment advisory company shall not undertake
rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case
for the computer operation such as procedure for open-close system, procedure for assessment, procedure for monitoring the operation system effectiveness and compliance schedule etc. and modify
) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm