approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
Access Control Objective: To limit access to information and the information processing facilities . Provisions in the Notification No. Sor Thor. 37/2559 Clause 8 An intermediary shall establish a
entity’s networks; (4) policy on access control on information and information processing facilities in line with IT security requirements; (5) policy on the use of IT outsourcing which covers selection and
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
aspect, such as, strike of employees or inaccessibility to building or facilities in areas. 9.2 Human resource aspect, such as, loss of executives or a key personnel or lack of personnel in large number
ถึงข้อมูลและสิ่งอำนวยความสะดวกในการประมวลผลข้อมูลต่าง ๆ (information processing facilities) ให้สอดคล้องกับข้อกำหนดด้านการรักษาความมั่นคงปลอดภัยของระบบสารสนเทศ (5) นโยบายเพื่อรองรับในกรณีที่ผู้ประกอบ
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
) 5.1 การควบคุมการเข้าถึงตามข้อกำหนดทางธุรกิจ (business requirements of access control) วัตถุประสงค์ เพื่อควบคุมการเข้าถึงข้อมูลและสิ่งอำนวยความสะดวกในการประมวลผลข้อมูล (information processing facilities