, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply
to amend the rules on office hours of securities companies.
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
include “private fund management company”. ** These sub clauses have been modified by the Notification of the Capital Market Supervisory Board No. TorThor. 24/2557 Re: Rules, Conditions and Procedures for
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
shall have power to order the investment advisory company to act, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered