person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701" http
International Standards on Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX
business operator in the category of derivatives advisor (as the case may be) issued under the Derivatives Act, B.E. 2546 (2003) and certify that the content contained in the application for registration and
) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity
approval for each advertisement. In applying for approval under the first paragraph, if the securities company has submitted the content of the advertisement for the Office’s consideration and the Office
securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection
connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross