the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
debt restructuring. 4.9 Property, plant and equipment It shall disclose following detail: Assets value Accumulated depreciation Inferior value allowance bring forward at the beginning of the period
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
external network by using modem (dial out), it shall given an approval by the authorized person and controlling strictly such as using a call back system, open-close modem controlling, authentication
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
. ในกรณีที่บริษัทหลักทรัพย์ออกตราสารทางการเงินสกุลบาท (structured note) อ้างอิงตัวแปรต่างประเทศขายแก่บุคคลทั่วไป หากบริษัทหลักทรัพย์ต้องการบริหารความเสี่ยงโดย back-to-back กับต่างประเทศโดยการซื้อหลัก