technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. Clause 3. The securities company shall provide an inspection of information
infrastructure risk. Compliance Guideline · Segregating l the developer from the system administrator that perform in the production environment. · Providing a written job description which identified clearly
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
the revocation of the license to the revoked registrar in writing. In this regard, the revoked registrar shall notify the securities issuer of the revocation in writing, and shall arrange the delivery
compensation not exceeding one million baht. In this regard, the claimants shall appoint in writing, as per form OrYor. 2 prescribed by the Office, a representative in the arbitral proceeding on their behalf
the consideration and approval of the board of directors of the company and should make such policy in writing to use as a guideline in operating business in accordance with the policy, law including
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
writing to the Office. Unless the Office gives an objection in writing within fifteen days from the date of receiving the notice, the investment advisory company may change such work system. Clause 2/1. An