persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting must
ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms for acceptable
ตลอดช่วงเวลาการใช้งาน (key management whole life cycle) โดยกำหนดแนวปฏิบัติเพื่อการคัดเลือก วิธีการเข้ารหัส การกำหนดความยาวของรหัส การใช้งานและการยกเลิกการใช้งานกุญแจเพื่อการเข้ารหัส กระบวนการบริหารจัดการ
balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall
because of the securities company in the position as a subsidiaries or entire taken over or almost under control by the other business. 3. Summary of Significant Accounting Policies Disclosure of each topic
obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited