\kornwara.SECOA_DOMAIN\Documents\Apple\Notice\Holiday\holiday10_notice_special2556.doc
บังคับตั้งแต่วันที่ 1 กรกฎาคม พ.ศ. 2545 เป็นต้นไป ประกาศ ณ วันที่ 27 มิถุนายน พ.ศ. 2545 (นายประสาร ไตรรัตน์วรกุล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ d:\apple\notice\donate4_1.doc
ทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\kornwara\My Documents\Apple\Notice\Holiday\holiday2_Notice_v3.doc
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
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
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a