acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ 9. บริษัทท่านมีมาตรการรักษาความปลอดภัยของศูนย์คอมพิวเตอร์ (Data Center) ดังนี้ ( จัดสรรพื้นที่กั้นบริเวณ จัดทำผนังหรือกำแพงล้อมรอบ มีโครงสร้างที่มั่นคง ( ติดตั้งสัญญาณเตือนภัย หรือระบบการแจ้งเตือน
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
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11