business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
that it is aware of the applicable independence, integrity, and objectivity rules. 5 Does the firm communicate its policies for independence to its personnel? If yes, describe how the firm communicates
securities company may complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn
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
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and
operation, an intermediary is obligated to the principles as prescribed in the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives
. 2550; Being the 62nd 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 trust for transactions in the