policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
; · abnormal operation ; · compliance and alteration a network by unauthorized person. · Preparing a network diagram which having a detail related to scope of internal network and external network and other
organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information systems and user identification of
conflict of interest in the organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...