September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
ธุรกิจโดยตรง ข้อ 8 ผู้ประกอบธุรกิจต้องจัดให้มีการกำหนดนโยบายอย่างน้อยในเรื่องดังต่อไปนี้ ไว้เป็นลายลักษณ์อักษร เพื่อรักษาความมั่นคงปลอดภัยของระบบสารสนเทศ (information security policy) (1) นโยบายการใช้งาน
เทคโนโลยีสารสนเทศระดับองค์กรที่ดี (governance of enterprise IT) (2) หมวดที่ 2 การรักษาความมั่นคงปลอดภัยของระบบเทคโนโลยีสารสนเทศ (IT security) โดยมีรายละเอียดดังต่อไปนี้ 2.1 แนวทางปฏิบัติเพิ่มเติมเกี่ยวกับ
quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest
business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
analyze the investment in securities and Category B Investor Contact who is not authorized to analyze the investment in securities; “analysis of investment in securities” means an analysis of various data