Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company
the Department of Business Development Re. Mandatory Summary Items in a Financial Statement , and shall be: (1) a securities company which obtains a securities business license in the category of
ในการควบคุม การปฏิบัติงานและการรักษาความปลอดภัยด้านเทคโนโลยีสารสนเทศ โดยแนวทางปฏิบัติฉบับนี้ประกอบด้วยแนวทางข้อที่มีนัยสำคัญ (mandatory [M]) และแนวทางที่เป็นข้อเสนอแนะเพิ่มเติม (accredit [A])โดยหาก
สารสนเทศ ประกอบด้วยแนวทางข้อที่มีนัยสำคัญ (mandatory [M]) และแนวทางที่เป็นข้อเสนอแนะเพิ่มเติม (accredit [A])โดยหากบริษัทหลักทรัพย์ได้ปฏิบัติตามแนวทางข้อที่มีนัยสำคัญ (mandatory [M]) อย่างครบถ้วน สำนักงานจะ
. Disclosure of any lawsuit that is part of the normal business undertaking is not required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The above disclosure
standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis . Chapter 4 Compulsory Measures ______________________
control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under Clause 10 to
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
characteristics of personnel in securities businesses, the Office shall proceed in accordance with the rules and procedures as specified in such notification. Chapter 3 Compulsory Measures ______________________
required such as a compulsory performance lawsuit in cases where the issuer is a financial institution. The disclosure of the description above shall include the information on the court trying the case, the