exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
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
for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets