compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
37 Management of trust is a trustee’s personal duty. A trustee shall not delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is
กรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงานเทคโนโลยีสารสนเทศจากผู้ให้บริการรายอื่น (IT Outsourcing
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Management) 6. การสำรองข้อมูลและระบบคอมพิวเตอร์ และการเตรียมพร้อมกรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงาน
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
) Personal planning for business expansion (if any). In case where no personnel have been hired, the applicant shall submit the criteria for qualifications of such positions. □ 3. Supporting documents for