traffic light protocol ซึ่งระบุรายละเอียดอยู่ในระบบ TCM-CERT Portal อย่างเคร่งครัด 2. ตัวแทนสมาชิกฯ จะจัดส่งรายงานเหตุการณ์ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัย ของระบบสารสนเทศ (incident report) ให้กับ
Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing this Notification is that in light of the fact that the originally prescribed form of a service office has a limited
the Office of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February 2006 in light of amendments to
information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating guidelines for the personnel of the intermediary
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
, 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
(..........................................................) CPA No……......................... Issued by …………………………. Audit Firm Name ………………………………………………… Country …………………………………………………………… Document Checklists for Fast Track Applicants (Please mark X for all that
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration