technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
company” means a company having any of the following characteristics: (1) a company relating to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of all
-money laundering legislations” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
procedure of such systems in written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating