Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
regulatory requirements · Technical knowledge and expertise, including knowledge of relevant information technology · Knowledge of relevant industries in which the clients operate · Ability to apply
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
client; (d) the information specified under (a), (b) and (c) of direct or indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding
individual customer; (d) the right to receive information relating to fundamental factors and the risk of the recommended securities, including investment strategy; (5) characteristics of general and specific
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total