of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC
against other businesses of the major shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on
businesses of the majority shareholder materially, the Company should explain the structure or condition of such relationship including the characteristics of business linkage. Clarifications on the said
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
business days from the day it becomes or oughts to become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or
shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546