server device network device etc. in the computer centre or prohibited zone and identifying right for computer centre. [M] · In case of unauthorised person may have a necessary to in the computer centre
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to
connection to the organization’s internal network systems; “ use of mobile device ” means the use of mobile devices in the operation to access the critical information system via direct connection to the
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week