13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
) sufficient control of the user rights to access sensitive or critical information; (3) communication security of organization’s critical operating systems and computer network systems for connection or
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to
. - There should be a system to access the Mutual und Approving System. Private Funds - The private fund management contract should at least contain the following matters: (1) Right, duties, and
conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider
: ประกาศ COI และประกาศเกี่ยวกับการลงทุน เพื่อเป็นทรัพย์สินของผู้ประกอบธุรกิจ: ประกาศ Prop Trade ) ซึ่งได้มีการพิจารณาปรับปรุงแก้ไข ร่างประกาศในประเด็นอื่น ๆ เพิ่มเติมเพื่อให้มีความเหมาะสมยิ่งขึ้นด้วย
procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes
of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
-five percent of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis ; (5) “ retail client ” means a client other than