necessary case such as system administrator computer operator etc.. Physical Security. Objective . Physical Security have an objective for preventing unauthorised person access risk, integrity risk or make
, establish physical entry control to ensure that only authorized personnel are allowed to access, and conduct a periodic review on the access rights granted; 3. The intermediary should establish the security
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
มีนโยบายการลงทุนใน Real Estate Investment Trusts และการลงทุนโดยตรง ใน Real Estate Investment Trusts (REITs) ด้วยมีบริษัทจัดการบางรายขอให้กองทุนรวมลงทุนในหน่วยลงทุนของกองทุนรวม ต่างประเทศที่มีนโยบายการ
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
2 ตารางแสดงรายละเอียดการจัดเก็บหลักฐาน ประเภทหลักฐานที่ต้องจัดเก็บ รายละเอียดขั้นต่ำ ระยะเวลาจัดเก็บขั้นต่ำ หลักฐานการเข้าถึงพื้นที่หวงห้าม (physical access log) บุคคลที่เข้าถึง / วันเวลาที่ผ่านเข้า
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange