year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b