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
company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing
1 shall prepare and file such reports even though there is none of any transaction during such period. Clause 4 Business operators shall file reports in Clause 3. with the SEC Office in the electronic
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
justifiable purposes; (8) the client deposits a significant amount of cash with securities company without a clear order on how the money will be used for investment, or even when an order is made, the amount
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
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
, even if the objects thereof are not the same, or the obligations are subject to conditions or terms as to time, or the derivatives business operator becomes entitled to the claim underlying such
ใช้งานอุปกรณ์เคลื่อนที่” หมายความว่า การปฏิบัติงานที่มีการใช้อุปกรณ์เคลื่อนที่ (mobile device) เพื่อเข้าถึงระบบสารสนเทศที่มีความสำคัญโดยผ่านการเชื่อมต่อกับ ระบบเครือข่ายคอมพิวเตอร์ภายในของผู้ประกอบ
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