: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
inspection cycle (2016 to 2018), audit firms in the capital market established and maintained a system of quality control as required by the Thai Standard on Quality Control (“TSQC 1”). The majority of audit
” means executive under Section 89/1; “control” means control under Section 89/1; “derivatives” means derivatives under the law on derivatives; “inside information” means information that has not been
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
current customer base by modifying the rewards criteria to allow all-year redemption, launching automatic points accumulation through in-app purchase, and adding product options or special discounts that
manner as specified in the notification of the SEC. “control” or “controlling” means (1) holding of shares with voting right in a juristic person, which represent more than fifty percent of the total
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
ของรายงานทางการ เงินที่จัดทําผา่นโปรแกรมที่บริษทัใช้ • ผู้สอบบัญชีประเมินระดับการใช้คอมพิวเตอร์ของบริษัทฯว่าอยู่ในระดับสูง อีกทั้ง ประเมินผล general control และ application control โดยการใช้ IT control