), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
sensitive information or the organization’s critical information systems, but excluding the clients; “ information processing facility ” means any equipment, operating systems, or infrastructure that are
the use of cryptographic controls and key management for protection of sensitive and critical information; (3) policy on the transfer of information within organization’s networks and with external
fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply
, 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
to amend the rules on office hours of securities companies.
ทรัพย์สิน ของพนักงาน เช่น แนวทางเกี่ยวกับการเปิดบัญชีซื้อขายกับ broker ต้นสังกัดและ broker อื่น แนวทางการให้พนักงานในกลุ่ม access person ที่เข้าถึงข้อมูลที่ sensitive ต้องขออนุมัติก่อนการซื้อขาย แนวทางเกี่ยว
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities