intermediary shall establish measures for operations security relating to information systems in accordance with the following criteria: (4) completely and sufficiently store and record logs for inspection of
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
with Chapter 4; (5) additional rules in accordance with Chapter 5. Chapter 1 Governance of Enterprise Information Technology _________________ Clause 5 An intermediary shall establish a documented policy
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
shall establish a risk management system for business continuity according to the rules set forth in the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11
to establish a branch office in foreign countries shall submit an application to the Office in accordance with the forms and procedures set out in electronic system of the Office. Clause 12. The
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
--------------------------- Clause 11. The securities company wishing to establish a branch office in foreign countries shall submit an application to the Office in accordance with the forms and procedures set out in electronic
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking