date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of
registrar and the competent official, issue ministerial regulations, and prescribe other tasks to implement this Act. Ministerial regulations shall be enforceable upon their publication in the Government
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
การเข้ารหัสข้อมูล (key management) [ ข้อ 6 แนวปฏิบัติ 1 ] บลจ.เอ็มเอฟซี ไม่เห็นด้วย ทั้งนี้ อาจจะต้องกำหนดให้ชัดเจน เรื่องการ implement รูปแบบนี้กับบริการระบบใดบ้าง และเนื้อหาในรายละเอียดของแต่ละบริการ
Systems: Does the firm provide services to design provide or implement IT systems to audit client? If so, does this include accounting systems or relating to the production of financial statements 3
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice