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
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
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
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
กรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงานเทคโนโลยีสารสนเทศจากผู้ให้บริการรายอื่น (IT Outsourcing
Certification Program (DCP) [ ] Director Accreditation Program (DAP) [ ] Audit Committee Program (ACP) [ ] Finance for Non-Finance Director (FN) [ ] The Role of Chairman (RCP) [ ] Understanding the
Management) 6. การสำรองข้อมูลและระบบคอมพิวเตอร์ และการเตรียมพร้อมกรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงาน
,” 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
failure of computer systems used for trading securities by companies which are members of the Stock Exchange of Thailand. If the incident results in no ability in recording an offer for trading come from